Firm: Add or Edit any Firm Information, Documents and Links

Firm: Add or Edit any Firm Information, Documents and Links

1. Add|Update Important Firm Emails & Address


1. Fingerprint Code

      If you use Electronic fingerprint w FieldPrint, the fingerprint code for your firm goes here

2. Firm Businesses

      Depending on the specific firm type, client type, or business lines, different rules or calendar tasks will trigger for your firm

3. Contact Info

  1. CCO name and email: appears in letters and receives notifications
  2. Addtl Alert Emails: (besides the CCO) will receive system notifications
  3. Compliance Address & Statements Email: This appears on all requestcancel letters generated when reps attest to having Brokerage Accounts
  4. Email(s) for Document Downloads: Receive alerts of download links for backup of all records (attestations, reports, forms) submitted in Compass, as a duplicate of everything in the Compass Firm Drive

2. Add|Update Important Firm Documents & Links

Command Center > Rt-Click "My Firm Info" > "Add Firm Docs/Links"

  1. Optional: This is used to add sites you & your team uses often to perform functions, such as Email Review (for example).
  2. Add/Edit the URL and Title as you choose
    1. It will appear on your Command Center dashboard for easy access

b. Onboarding and Annual Documents

  1. These are included in the Onboarding email the rep receives, in addition to the Annual Rep Review email reps receive. 
    1. Compass includes all basic required forms, as described in PreHire and Onboarding. However, Firms may additionally send or require additional firm specific forms, manuals, information, etc which may be uploaded into their Firm Module so that they can be included in onboarding or annual emails via compass.
    2. **Firm may upload the PDF or web-based link for the corresponding forms/manuals, etc.
    3. **The WSP & RIA Manual are also permanently available to Reps via the Onboarding dashboard as well as the REP DASHBOARD, so that everyone has access to the most current version at all times.

c. At Hire Only Documents

  1. These are included in the Onboarding email the rep receives.

d. PreHire Forms

  1. These are included in the PreHire email the rep receives.

e. Additional Forms

  1. These are used for corresponding modules/emails.

    • Related Articles

    • Firm: Brokerage Statement Reviews

      Select statement to review Employee Brokerage Accounts > EBA Statements will show all accounts attested.  (Remember you must MARK AS RECEIVED) to tell the system you are finally receiving them) Select [ADD REVIEW] button  -OR- Select EBA Review form ...

    • Firm: Books & Records Download Links

      While Compass securely stores submitted documentation (attestations, reviews, etc), in the Firm's drive (access via Command Center), the Firm is ultimately responsible for storing Books & Records in their designated location (whether on Firm servers, ...

    • Rep: Submit New Account for Review

      Account Flow Dashboard Account Flow Dashboard Add or Start a New Account by pressing '+New Account' button Pending reports.  Pending Account Info = the account level, documents, submission Pending Profile Details|Documents = The names and documents ...

    • Firm: WSP Attestations

      NOTE:  The system captures the last date each rep attests to the WSP by either: Filling out a Compliance Questionnaire A specific WSP Attestation PDF is not uploaded if attesting via a Compliance Questionnaire, however the WSP ...

    • Firm: Onboarding

      1. Add Rep Start Date & Firm Email Rt-Click > EDIT Rep to add information If it was not added when accepting the PreHire: Right-Click Rep > EDIT Start Date* Firm Assigned|Captured email* This is the identifier for each person, and should not be ...