Legal
Onboarding a new client at a firm
Identification, conflict check and written engagement, before any work starts.
Client onboarding at a firm is often handled with a phone call and a new folder. It is the moment three separate obligations are taken on, and all three are far cheaper to meet before starting than after.
The three things to close
| Front | What you need | Why beforehand |
|---|---|---|
| Identification | ID document, beneficial ownership for companies | Starting work without it is already a breach |
| Conflict of interest | A check against your client base | Afterwards it means resigning the engagement |
| Written engagement | Scope, fees and what is excluded | It is what prevents the argument at the end |
Important
The second costs most when skipped. Discovering three months in that you act for the other side in another matter is not fixed with an apology: it is fixed by resigning the engagement, sometimes both.
How to do it without slowing intake
- 1
One onboarding process for everyone
Asking the same things every time, so nobody decides ad hoc what to request.
- 2
Documents supplied by the client, not chased by you
Send a request and they upload theirs; the work is shared.
- 3
The conflict check, recorded
Doing it is not enough: you must be able to show it was done and when.
- 4
And the engagement signed before the first action
Signed from a phone the same day, not a PDF returning in two weeks.
Watch out
The urgent case is what breaks the system: a client arriving with a deadline the day after tomorrow. Decide calmly what minimum is non-negotiable even then — usually identification and conflict — and what can be completed within 48 hours.
What you must be able to show years later
Worth knowing
The last point is always forgotten. Identification is not a one-off: in long relationships it must be refreshed, and a company can change beneficial owner without telling you.
›Does it apply to small private clients?
The obligation depends on the type of service, not the client's size.
›What if the client refuses to identify?
That is grounds not to accept, and it should be recorded.
›Can the client upload their own documents?
Yes, by their link, with no account and without their documents circulating by email.
A real case
The situation
A firm takes on an urgent matter and completes identification three weeks later.
What you do
- Defines a non-negotiable minimum for urgent cases
- Sends the document request to the client the same day
What you get
Urgent onboardings close within 48 hours with the conflict check recorded.
The situation
A client is accepted and their documentation arrives months later.
What you do
- Requests what is needed before starting
What you get
The engagement starts complete.
The situation
Each person asks for different things at onboarding.
What you do
- Uses one onboarding template
What you get
The files are comparable.
The situation
An onboarding document expires and nobody reviews it.
What you do
- Records validity on receipt
What you get
The file stays true.
The situation
There is no record of what was checked on accepting the client.
What you do
- Records the checks performed
What you get
The decision to accept is explicable.
The situation
An old client never went through the current onboarding.
What you do
- Checks what is missing in the older files
What you get
The gap closes without waiting for a review.
This article answers
- client onboarding at a law firm
- client identification anti money laundering
- engagement letter
- checking conflicts of interest