AML, KYC & Ongoing Due Diligence for Capital Introduction & Advisory Firms

AML, KYC &
Ongoing Due Diligence for Capital Introduction & Advisory Firms

Steward streamlines investor onboarding, KYC verification, and AML compliance for Capital Introduction and Advisory Firms, using AI to reduce risk and accelerate processes.

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Why AML & KYC are complex for Capital Introduction Firms

Capital Introduction and Advisory Firms connect fund managers with investors, streamlining onboarding, due diligence, and compliance across jurisdictions. However, fragmented systems and manual KYC/AML processes can create operational risks and regulatory challenges.

Coordinating KYC verification across multiple fund managers and investor types

Screening against global sanctions lists including OFAC list requirements

Managing enhanced due diligence for high-risk or politically exposed investors

Maintaining audit trails for regulatory reviews

Verifying entities and beneficial owners across layered corporate structures

Delivering institutional-grade compliance while preserving speed of capital raising

Aligning with Financial Action Task Force (FATF) guidance

How Capital Introduction Firms use Steward

Investor Onboarding

Deliver seamless KYC online workflows that centralise document collection, identity verification, and compliance approvals within one secure KYC portal. Our AI KYC technology reduces friction while ensuring full adherence to know your customer requirements.

KYC & KYB Verification

As a leading KYC provider, Steward performs both individual and corporate verification, mapping ownership structures and identifying ultimate beneficial owners. AI-powered document analysis speeds up reviews, reduces errors, and transforms traditional KYC into intelligent automation.

AML Screening & AI-Driven Risk
Analysis

Steward combines automated AML screening with AI: sanctions checks, PEP identification, adverse media monitoring, and consolidated risk scoring. AI reduces false positives, strengthens decisions, and lets firms move from static alerts to actionable AML insights.

Ongoing Monitoring

Capital introduction doesn’t end at onboarding. Steward’s automated AML and lifecycle monitoring capabilities ensure investors are continuously screened and reviewed as part of an ongoing compliance program. This includes trigger-based reviews aligned to FATF guidance and internal risk frameworks.

Typical needs for
Capital
Introduction
and Advisory Firms

Onboarding institutional and professional investors across multiple funds

Providing KYC and KYB for emerging managers and complex investor entities

Offering a white-labelled KYC platform for fund manager clients

Performing enhanced due diligence for cross-border capital flows

Managing regulatory reporting and full audit preparation processes

Screening investors for sanctions and supporting placement agent compliance

Trusted by service providers
supporting complex investor risk

"What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team."

Mark Pettit

CFO @ Connect Ventures

"Steward's document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures."

D'Arcy Martin

Platform @ Outward VC

"Steward cuts manual review time, improves decision consistency, and strengthens audit defensibility, freeing compliance teams to focus on higher-value work."

Sol Alagba

Head of Compliance @ IAB Group

"What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team."

Mark Pettit

CFO @ Connect Ventures

"Steward's document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures."

D'Arcy Martin

Platform @ Outward VC

Getting started

Extend your services with these optional add-ons

Core

Start onboarding your first client in less
than 24 hours.

Standard Risk Ratings
Global onboarding requirements
AI-assisted reviews
AML Reporting
Case management

Frequently Asked
Questions

Everything you need to know about AML, KYC, and ongoing due diligence for depositories and custodians. Learn how Steward supports onboarding, monitoring, and compliance across complex institutional client relationships. Can't find what you're looking for? Chat with our team.