Financial Services Compliance & Onboarding Form

Streamline Financial Services Onboarding with Compliance Built In

Bringing on new employees in financial services means navigating a complex web of regulatory requirements, license verifications, and conflict disclosures. This Financial Services Compliance & Onboarding Form template is purpose-built for wealth management firms, broker-dealers, investment advisors, and financial institutions that need to collect critical compliance information during employee onboarding.

Built for Regulated Industries

This template captures everything compliance teams need on day one: Series license details and verification, personal trading account declarations, outside business activities, conflicts of interest, political contributions, and formal acknowledgment of your firm's code of ethics. Instead of juggling PDFs, email chains, and manual data entry, you can collect structured, audit-ready information in one secure workflow.

How Paperform Enhances Your Onboarding Process

Paperform's conditional logic ensures new hires only see questions relevant to their role—advisors see license fields, support staff skip them. Once submitted, you can use Stepper to route license verification tasks to compliance, trigger background checks, update your HRIS, and notify department heads—all automatically. For firms requiring signed acknowledgments, Papersign lets you turn form submissions into legally binding eSignature documents, keeping ethics agreements and disclosures linked to the original onboarding record.

Perfect for Compliance Officers, HR Managers & Operations Teams

This template is ideal for compliance officers managing FINRA and SEC requirements, HR managers onboarding advisors and analysts, and operations teams at RIAs, broker-dealers, private equity firms, hedge funds, and wealth management practices. With SOC 2 Type II compliance and data residency controls, Paperform gives you the security posture regulators and auditors expect, wrapped in a no-code platform your HR team can customize without waiting on IT.

Get new hires compliant faster, reduce manual review time, and create a digital audit trail from day one with this ready-to-use template.