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Financial Services

Finance Workflow Automation for the Financial Industry

docAlpha’s finance and accounting workflow automation solution for the financial services industry helps to streamline processes, improve customer service, ensure compliance and reduce costs.

Financial Institutions like wealth management, investment services, mortgage and brokerage firms are paper intensive businesses. Reducing costs and increasing service levels and operational efficiencies provides a competitive advantage vital to success.

At the same time the need for compliance with regulatory laws such as Graham-Leach-Bliley, SEC 17a-3 and 17a-4, The Patriot Act, Sarbanes-Oxley sections 302 and 404 for public companies, IRS Rev. Proc. 97-22 and NASD 3010 & NYSE 342 place an exceptional burden on financial services companies to maintain document security and process auditability.

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docAlpha Benefits


  • Capture documents early – Using multi-channel capture an organization can start processing documents faster
  • Eliminate manual handling and sorting – Reduce unwanted manual labor to sort and separate documents
  • No more data entry – Automatically extract all the needed data from documents rather than keying them in manually
  • Accurate data – Run rules to check the data against your data sources making sure you have the highest level of accuracy
  • Secure documents and data – Control document access, enforce document retention policies, audit file activity
  • Ensure compliance – Control document access, enforce document retention policies, audit file activity, and more!
  • Support disaster recovery – Store documents electronically to ensure the safety and security of all files in the event of a disaster