Show Guidance

Your process for delivering advice to your customers is a key component of your advice operations and vital to ensuring that you can gather client information, analyse their needs and deliver high quality recommendations with minimum errors. Effective Advice processes can also make it easier for your advisers to do business and win clients as well as drive down the embedded costs in your processes.

Enterprise Learning can help you by reviewing your existing processes and recommending improvements. We can provide a detailed process improvement assessment carried out by our specialist advice process analysts. We can provide independent advice on selecting systems and financial tools which will suit your services and customers from the range of different external providers available. We can also help you develop clear guidance and standards for the use of your advice processes by your advisers and other staff and develop and deliver advice process training for them.



  • A clearly defined advice process exists, and adaptations/exceptions to cover a variety of customer requirements are robust and well documented e.g. Execution Only business.
  • The advice process is supported by efficient and intuitive systems leading to a streamlined approach and robust record keeping.
  • There is clear guidance on how systems should be used to ensure consistency of approach and record keeping/MI.

Negative Indicators

  • No standard advice process exists.
  • Multiple channels within one organisation with widely varying advice processes without any apparent justification.
  • Manual advice process with insufficient controls to drive consistency and adherence to advice standards.
  • Automated advice process that is not clearly understood by users, or supported by user guidance, and leads to inconsistent use and potentially inconsistent records/MI.