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Maverick InnoGarage
Adobe Solution Partner, Bronze

Industry solutions

MapleRecord for financial services

Modernize your financial institution with intelligent document management, automated workflows, and compliance support built for banking, wealth management, and insurance.

  • Loan and account records
  • KYC/AML workflows
  • Audit trails

Product screens show sample data.

Request a demo (opens maplerecord.com in a new tab)See how it works

Also published on maplerecord.com/solution/financial-services (opens maplerecord.com in a new tab)

MR Records retention schedule list with cycle, active period and disposition instruction for each schedule

The challenge

Financial services challenges

Modern financial institutions face increasing regulatory pressure, data security requirements, and customer expectations for rapid service delivery.

  • Regulatory compliance

    Institutions must meet SOX, FINRA, SEC, GDPR, and AML requirements while maintaining complete audit trails.

  • Document overload

    Millions of loan documents, account records, transaction data, and compliance reports sit across multiple systems and locations.

  • Operational efficiency

    Manual processing slows loan origination, account opening, KYC verification, and fraud investigation workflows.

How it works

How MapleRecord serves financial services

Three of MapleRecord's five modules do most of the work for financial services. Here is what each one does.

Explore the platform

  • MR Records

    MR Records audit trail table with timestamp, device, operating system, browser, user, action ID and action type

    Intelligent records management

    A secure repository for loan files, account records, transaction history, and compliance documentation, with automated retention policies.

    • Centralized loan and account document storage
    • Automated classification and metadata tagging
    • Regulatory retention schedule enforcement
    • Encryption and role-based access controls
    Learn more about MR Records

  • MR Requests

    MR Requests board of information requests grouped into Pending, Open, In progress, On hold, Resolved and Closed columns

    Request intake and management

    Streamline audit responses, regulatory inquiries, and internal document requests with automated search and fulfillment.

    • Rapid response to regulatory examinations
    • Automated legal hold and eDiscovery support
    • Customer account inquiry resolution
    • Complete audit trail of all requests
    Learn more about MR Requests

  • MR Workflows

    MR Workflows run history with total, successful, partial and failed runs and the fetched and filed counts per run

    Workflow management

    Automate loan origination, account opening, KYC verification, compliance reviews, and approvals with no-code process orchestration.

    • Automated loan processing and approvals
    • KYC/AML compliance workflow automation
    • Real-time process monitoring dashboards
    • Integration with core banking systems
    Learn more about MR Workflows

Product screens show sample data.

Also on the platform

Business impact

Potential impact for financial institutions

  • 30–50%

    Faster response times

    For regulatory and audit requests.

  • 60%

    Reduced manual effort

    Across compliance tasks.

  • 100%

    Audit traceability

    Across records, requests, and workflows.

Figures as published on maplerecord.com, MapleRecord's product site.

Use cases

Financial services use cases

  • Loan origination

    Automate document collection, verification, approval workflows, and record keeping for mortgage and commercial loans.

  • Account opening

    Streamline KYC verification, identity checks, document capture, and approvals for new customer accounts.

  • Regulatory reporting

    Collect the records behind SEC, FINRA, FDIC, and other regulatory reports, and route each report through review and approval.

  • Audits & examinations

    Respond quickly to internal audits, regulatory exams, and third-party assessments with automated document retrieval.

  • Claims processing

    Automate claims intake, document review, fraud review routing, and payment approval workflows for insurance carriers.

  • Client onboarding

    Streamline client intake, suitability assessments, and account setup for wealth management and advisory firms.

Insurance carrier, broker or MGA?See MapleRecord for insurance

Security & compliance

Built for financial services security

MapleRecord is designed to support the security and compliance requirements of banks, credit unions, insurance companies, and investment firms.

  • End-to-end encryption (256-bit AES)
  • Multi-factor authentication (MFA)
  • Role-based access controls (RBAC)
  • Complete audit logging
  • Data residency options

Explore more

More industry solutions

MapleRecord

Ready to modernize your financial institution?

See how MapleRecord can help your bank, credit union, or financial services firm modernize document management and workflow automation.

Request a demo (opens maplerecord.com in a new tab)Contact sales

Talk to the MapleRecord team

info@maplerecord.com+1 (940) 945-6180

MapleRecord is designed and built by Maverick InnoGarage.

Implement MapleRecord with Maverick InnoGarage