FSC Implementation Readiness Checklist

Architectural Readiness

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1. Data Architecture & Modeling

Household Mapping Defined

We have a documented strategy for migrating flat legacy data (Leads/Contacts) into FSC's relational Person Account and Household models.

Data Cleansing Protocol

We have identified duplicate records, orphaned accounts, and incomplete KYC profiles, and assigned resources to clean them prior to migration.

Complex Relationship Hierarchy

We know exactly how we will model multi-generational wealth, trusts, corporate accounts, and Centers of Influence (COIs) in the new system.

2. Integration Ecosystem

Custodian & Portfolio Feeds

We have identified the specific API endpoints and data payloads required to integrate our custodian and portfolio management systems (e.g., Orion, Black Diamond).

Communication Capture Strategy

We have a concrete plan for integrating VoIP, email, and SMS logs directly into the Salesforce Client Record for Books & Records compliance.

Historical Log Migration

We have a secure method for migrating legacy, immutable compliance notes and audit logs into the new FSC architecture.

3. Regulatory & Compliance Logic

Automated KYC Renewals

We have mapped the exact logic, timelines (e.g., 12/36 months), and automated triggers required for CIRO/SEC suitability and KYC documentation updates.

Trade Exception Routing

We have designed the approval hierarchy and routing logic for trade supervision, ensuring escalations automatically alert the CCO.

Access Controls & Visibility

We have defined strict Role-Based Access Controls (RBAC) to ensure advisors only see their book of business, while compliance teams retain holistic oversight.

4. Execution & Resources

FSC Certified Expertise

Our implementation team holds specific Salesforce Financial Services Cloud accreditations, not just standard Sales Cloud administrator certifications.

User Acceptance Testing (UAT)

We have allocated specific hours for advisors and compliance officers to test the platform in a sandbox before final go-live.

"Day 2" Release Strategy

We have an established protocol for testing and deploying Salesforce's mandatory tri-annual releases to ensure custom compliance flows do not break.

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FSC Implementation Readiness