Using Workflow

Effective task management every day

Key points:

  • FinPlan is process driven;
  • Add a New Enquiry to start a new Adviser Process;
  • Add a new Framework against a case to start a new Administration Process;
  • Complete every stage of the process – even if you’re just confirming the task is not applicable this time;
  • Ensure your Workflow is cleared each day.

Workflow - An Essential Tool

FinPlan’s powerful Workflow system keeps you on top of all of the tasks you need to complete each day.

Workflow shows you the next task you need to complete in a process.

Workflow and process frameworks are not an optional component of the system. Everything you do should be part of a defined process.

When this happensDo this
You receive an enquiry from a new client, not yet recorded in FinPlanAdd the new client, their enquiry and start the Adviser process
You receive a new enquiry from an existing client (already on FinPlan)Search for the client and add the New Enquiry against their existing record to start the Adviser process
You need to perform a Client reviewLocate the client and add a New Enquiry for the Client Review - the Adviser Process will be different from the Adviser process for a new client
You need to start processing a new item of businessAdd the Administration Framework against the proposal to track the Administration process

Adviser Workflow – used to manage client enquires and guide the adviser through their sales process to write new business

Administration Workflow – used to manage the case tracking on new business

Compliance Workflow – used to manage the compliance records and case file reviews against new business

Commission Workflow – used to manage the income and match it to the business register.

Understanding the Process


The Process is a list of tasks that need to be completed. All stages of the process need to be either ‘Done’ or marked as Not Applicable (N/A) to complete the process.

Your Workflow shows you the first task in every process that is not complete and has a Next Review Date of today or earlier.

In the example above, the first three tasks have been completed and ‘Fee Agreement Signed’ will appear in the Gavin Mitchell’s Workflow – because For Review By has been set to Gavin Mitchell.

You do not need to complete the tasks in order, but it is always the first incomplete task that will show in the Workflow.

To clear this item from the Workflow:

Either finish all outstanding tasks (4 through 12) today;


Complete whatever tasks are possible (which may be none) and then set the Next Review Date to be the date when you will next work on this process.

If you simply tick off ‘Fee Agreement Signed’ as Done, the process will still appear in your Workflow showing the next stage (Fact Find Completed).

➠ If the enquiry is not proceeding, tick the ‘Enquiry not proceeding’ box to quickly mark all remaining tasks as N/A.

At the end of the day, your Workflow should be EMPTY.