100 Financial Advisor SOPs (Excel XLSX)

BENEFITS OF THIS EXCEL DOCUMENT

1. Offers a structured approach to Investment Management and Portfolio Execution for optimized performance and risk control.
2. Delivers step-by-step guidance for Compliance, Risk, and Governance procedures to ensure regulatory adherence and operational integrity.
3. Provides a framework for implementing comprehensive Client Lifecycle Management processes to enhance engagement and retention.

FINANCIAL MANAGEMENT EXCEL DESCRIPTION

This product (100 Financial Advisor SOPs) is an Excel template (XLSX), which you can download immediately upon purchase.

Curated by McKinsey-trained Executives


Ultimate SOP Pack for Financial Services Firms: Streamline Operations, Boost Client Success & Compliance

In today's hyper-competitive financial services industry, operational excellence is no longer optional—it's mandatory. Firms that fail to implement consistent, efficient, and compliant workflows risk losing clients, mismanaging portfolios, and facing regulatory penalties. That's why our comprehensive SOP pack is designed to transform your financial advisory or wealth management firm into a well-oiled machine, driving productivity, client satisfaction, and growth.

This SOP pack is your ultimate blueprint for end-to-end financial operations, covering everything from client lifecycle management to compliance, investment execution, and technology utilization. By standardizing processes across all critical areas, your team can focus on what matters most: building trust, growing assets under management, and delivering measurable results.


Why Every Financial Firm Needs an SOP Pack
•  Consistency Across Teams – Ensure every advisor, associate, and back-office staff follows the same best practices.
•  Compliance & Risk Mitigation – Reduce regulatory exposure with documented workflows for AML, GDPR, cybersecurity, and fiduciary responsibilities.
•  Operational Efficiency – Cut down onboarding time, streamline trade execution, and automate reporting.
•  Enhanced Client Experience – Deliver personalized financial plans, proactive reviews, and transparent reporting that clients trust.
•  Scalable Growth – Build a foundation for expansion, team growth, and service diversification without sacrificing quality.


SOP Content Overview
Our SOP pack covers 10 critical operational pillars that every financial firm must master:

I. Client Lifecycle & Relationship Management
1. Prospecting & Lead Generation
2. Initial Contact / Qualification
3. Discovery Meeting / Fact Finding
4. Proposal / Engagement Letter Process
5. Client Onboarding (First 90 Days)
6. Data Gathering & Client Document Collection
7. KYC / Identity Verification
8. Risk Profile / Suitability Assessment
9. Client Education / Tools Walkthrough
10. Goal Setting & Prioritization

II. Planning & Strategy
11. Financial Plan Development (Cash Flow, Debt, Balance Sheet)
12. Tax Planning Integration
13. Insurance Planning / Risk Management
14. Retirement Planning
15. Education / College Funding Planning
16. Estate & Succession Planning
17. Business Owner / Executive Planning
18. Alternative Investments Due Diligence
19. Scenario / Stress Testing & Sensitivity Analysis
20. Plan Presentation to Client

III. Investment Management / Portfolio Execution
21. Investment Policy Statement (IPS) Drafting
22. Asset Allocation / Model Portfolio Selection
23. Security / Fund Selection & Due Diligence
24. Trade Execution / Order Placement
25. Portfolio Rebalancing
26. Performance Monitoring / Attribution Analysis
27. Portfolio Reporting / Client Reporting
28. Fee / Billing Calculation & Reconciliation
29. Model / Strategy Review & Adjustments
30. Proxy Voting / ESG / Corporate Actions Handling

IV. Ongoing Client Service & Reviews
31. Periodic Review Scheduling & Workflow
32. Review Meeting Preparation & Agenda
33. Client Review Meeting Delivery
34. Post-Review Action Item Tracking
35. Client Communication & Touchpoint Cadence
36. Client Portal / Digital Access Management
37. Client Request Handling (Withdrawals, Transfers, etc.)
38. Complaints / Dispute Resolution
39. Referral Ask & Tracking
40. Client Offboarding / Closure Process

V. Compliance, Risk & Governance
41. Compliance Checklist & Regulatory Reporting
42. Conflicts of Interest / Disclosure Management
43. Privacy & Data Protection / GDPR (or regional equivalent)
44. Record Retention Policy
45. Internal Audit / Quality Review
46. Business Continuity / Disaster Recovery
47. Cybersecurity / IT Security Procedures
48. Anti-Money Laundering (AML) / Fraud Monitoring
49. Vendor / Custodian Oversight & Onboarding
50. SOP Review & Version Control

VI. Operations & Back-Office Management
•  Cash Management & Sweep Accounts
•  Banking / Custodial Reconciliation
•  Billing & Invoicing Cycle
•  Accounts Payable / Vendor Payment
•  Accounts Receivable / Collection
•  Expense Approval & Reimbursement
•  Internal Expense Allocation / Cost Centers
•  Financial P&L & Budgeting Process
•  Monthly / Quarterly Financial Close
•  Treasury & Liquidity Planning

VII. Marketing & Business Development
•  Brand / Messaging Guidelines
•  Content Strategy & Editorial Calendar
•  Social Media Management
•  Email Marketing / Newsletter Process
•  Webinar / Seminar Planning & Execution
•  Events / Conferences / Speaking Engagements
•  Website / SEO / Content Publishing
•  Paid Advertising / PPC / Campaign Launch
•  Lead Nurture / Drip Campaigns
•  Marketing Analytics & KPI Tracking

VIII. Sales & Conversion
•  Sales Funnel Definition & Stages
•  Sales Qualification / Scoring System
•  Discovery Call / Needs Assessment
•  Sales Proposal Creation & Template Use
•  Objection Handling & FAQs
•  Closing & Contract Signing
•  Up-Sell / Cross-Sell Process
•  Renewal / Retention Strategy
•  Client Reactivation / Win-Back Process
•  Sales Team Training & Playbooks

IX. Human Resources & Team Management
•  Recruiting & Hiring Process
•  Onboarding New Employees / Advisors
•  Performance Reviews / Appraisals
•  Compensation / Bonus / Incentive Structure
•  Training & Professional Development
•  Employee Offboarding
•  Time & Attendance / Leave Management
•  Workplace Policies & Employee Handbook
•  Internal Communication & Meeting Cadence
•  Conflict Resolution / Grievance Handling

X. Technology, Tools & Analytics
•  CRM Management & Usage Guidelines
•  Document Management / Version Control
•  Tools & Software Onboarding / Licensing
•  Data Backup & Disaster Recovery
•  API / Integration Maintenance (custodian, reporting tools)
•  Business Intelligence / Dashboard Reporting
•  Cybersecurity / Access Control / Permissions
•  IT Support / Ticketing Process
•  System Upgrades / Change Management
•  Vendor / Software Evaluation & Implementation


Take Your Financial Firm to the Next Level

Our SOP pack is more than just a set of instructions—it's a strategic framework for operational excellence. By implementing these workflows, your firm can:

•  Minimize operational errors and client dissatisfaction
•  Increase portfolio performance accuracy
•  Ensure regulatory compliance at every touchpoint
•  Build a scalable and high-performing advisory team
•  Strengthen client trust and retention

Whether you're a boutique advisory firm, a mid-sized wealth management company, or a large-scale financial institution, these SOPs provide the structure and clarity your team needs to deliver measurable results, maintain compliance, and grow your business faster.


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Source: Best Practices in Financial Management Excel: 100 Financial Advisor SOPs Excel (XLSX) Spreadsheet, SB Consulting