Client Acceptance and Independence Agent
Runs identity, AML, conflict and independence checks for new clients and drafts the engagement letter.
The challenge
Acceptance procedures are compliance-critical and slow. Partners want to start work; risk teams need ownership structures, screening results and independence confirmations first.
What the agent does
- Collects identity documents and maps ownership from company registries.
- Screens against sanctions and adverse-media sources and scores the risk under the firm’s policy.
- Checks the firm’s relationships and services for conflicts and independence threats.
- Drafts the engagement letter from the agreed scope using the firm’s current terms.
Your people stay in control
Standard-risk clients go to the partner for acceptance. Anything higher goes to the firm’s risk function. The agent never accepts a client.
Works with
- Practice management and CRM
- Identity and screening providers
- Companies House and other registries
- E-signature
How we measure success
- Days from enquiry to signed engagement letter
- Checks completed without rework
- Cases referred to risk and why
Kind of work
Decisions and approvals. The agent gathers the evidence, recommends a decision, and passes anything that is not simple to a person.
More in Accounting & Audit
Substantive Testing AgentSelects samples, vouches them to source documents and records each result with the evidence attached.Client Data Normalisation AgentTurns messy trial balances, ledgers and exports into clean financial data mapped to the firm’s own leadsheets.PBC Request and Evidence AgentBuilds the request list, chases the client, and checks each document received against what was asked for.Workpaper Preparation AgentRolls forward last year’s file and prepares leadsheets, reconciliations and tie-outs for the associate to complete.
Want this working in your firm?
We can show it working on real examples from your business before you commit to a full build.