Compliant Broker Offboarding & Exit Management
Manage broker, adviser, and staff exits with structured, auditable workflows. Coordinate every step from resignation through to access removal, client handover, and secure record archiving with complete compliance documentation.
Why Aggregators Choose Our Offboarding Module
Purpose-built for compliant broker and staff exits
Configurable Exit Workflows
TailoredConfigurable offboarding workflows for voluntary exits, terminations, and changes of aggregator with tailored steps for each scenario.
Automated Access Revocation
ImmediateAutomated revocation of system access and credential recovery through integrations with identity, CRM, and document management systems.
Secure Record Archiving
CompliantSecure archiving of user records, documents, and communications with retention rules aligned to regulatory requirements.
Complete Exit Tracking
Nothing missedCentral task list tracking all exit activities including equipment return, file handover, and final declarations.
Comprehensive Offboarding Features
Everything you need for compliant broker and staff exits
Configurable Exit Workflows
Create workflows for different exit scenarios including voluntary departures, terminations, and aggregator changes.
- Voluntary exits
- Terminations
- Aggregator transfers
- Role changes
Exit Task Management
Central task list and status tracking for all exit activities with ownership and due dates.
- Task assignments
- Status tracking
- Due date alerts
- Escalation rules
Access Revocation
Automated revocation of system access and credential recovery through identity and system integrations.
- System access removal
- Credential recovery
- Integration triggers
- Confirmation tracking
Client Handover Management
Structured capture of client handover details, file transfers, and risk flags for departing brokers.
- Client reassignment
- File transfers
- Risk flagging
- Handover documentation
Secure Record Archiving
Secure archiving of user records, documents, and communications with regulatory retention rules.
- Document archiving
- Retention policies
- Secure storage
- Retrieval access
Offboarding Reports
Audit-ready history of each offboarding journey including timestamps, approvers, and completed actions.
- Exit reports
- Audit trails
- Compliance exports
- Trend analysis
Offboarding Module FAQ
What is the CompliCentral Offboarding Module?
The Offboarding Module provides compliant, structured exit processes for brokers, advisers, and staff. It coordinates every step from resignation through to access removal, client handover, and secure record archiving with complete audit trails.
Related: What exit types are supported? • What tasks are included in offboarding?
How does the Offboarding Module manage access revocation?
The module automates access revocation through integrations with identity management, CRM, document management, and other core systems. When an offboarding workflow is triggered, access removal tasks are automatically created and tracked to completion.
Related: How are integrations configured? • How is revocation confirmed?
Why do aggregators need offboarding software?
Aggregators need offboarding software to minimise risk during broker transitions, maintain clean records for regulators and lenders, protect client outcomes through coordinated handovers, and ensure every exit step is documented and auditable.
Related: What are the risks of poor offboarding? • How does offboarding protect compliance?
When should aggregators implement the Offboarding Module?
Aggregators should implement the Offboarding Module when experiencing regular broker turnover, facing compliance gaps in exit processes, wanting to automate access revocation, or needing better audit trails for departed brokers.
Related: How long does implementation take? • What is the ROI?
Where does offboarding fit in broker lifecycle management?
Offboarding is the final stage of the broker lifecycle, connecting to Compliance for exit obligations, Audits for departure records, and CRM Integration for access management. It uses the same configurable engine as Onboarding for consistency.
Related: How does it connect to other modules? • Where are archived records stored?
Who uses the Offboarding Module?
Aggregator operations teams, compliance officers, HR teams, broker principals, and IT administrators use the Offboarding Module to manage broker and staff exits with complete documentation.
Related: Who approves exit workflows? • What access controls are available?
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