1. Add Names|Reps to the Annual Review

1. Employees (report) > Select Names (you want to add to the annual review)
   
1. **Remember to FILTER, do not select terminated Reps
   
2. Select [Annual Rep Review + Consultant Assistance] if you wish for assistance with the 1) Due Diligence (OFAC, Google, social media, lien & corporation search) + 2) attestations reminders/follow up + 3) U4 info review/gather (if access is granted) - (as per mutual agreement)
   
1. If you forget to add Consultant assistance at this time, or you decide to later, you can always go to:
   
1. Annual Rep Project (report) > select the Reps > [add Consultant Assistance] once already added to the Annual Rep Review
   
3. Select [Annual Rep Review] if no consultant assistance is requested

Employees > Add to 'Annual Rep Review'

2. Ensure the Firm’s WSP|RIA Manual|Annual Forms are Updated (if applicable)

Upload the Firm's most recent WSP and RIA Manual (whichever is applicable) so that the links appear on each Rep's dashboard, and so that they are attesting to the most recent versions.

1. UPDATE FIRM'S WSP/RIA MANUAL

3. Email Reps

FILTER and waive any rep's you select

1. TIPS: Some firms choose to exclude any reps 'hired in the previous 3 months' or any 'Not Registered - NRF Persons'. Other firms require everything from everyone. The filters are available if firm chooses to use.
   
1. WAIVE any forms firm deems necessary - this will bypass the form requirement but still allow for the Due Diligence and Report
   
1. Individual Forms: Firm can EDIT any rep and individually select certain forms to 'waive'.
   
2. All Non-Reviewed Forms: Rt-Click the Rep, or select numeroud Reps > select "Waive pending forms"
   
1. This will change any form status, that is not 'Reviewed' into a 'Waived' status
2. SELECT All > [Email Forms (Portal)]  -OR-  SELECT individually w [Email Forms (Portal) Button] 
   

1. Pressing the [Email Form (Portal)] button will send an email TO: Firm Email, FROM: Logged in user; advising of the annual form requirements (as shown below)

Reps Receive:

1. a link directly to Finra's FinPRO website where they login (or create login info, or reset password) to review their U4 information
   
2. a link directly to the Compass Portal (reps can reset their own password if it was forgotten)
   
3. a link with detailed instructions, as well as information about the instructions available in their portal
   
4. a list of required forms along with the status of each
   
5. information to directly contact Compass for any tecnical assistance
   
6. PDFs of latest WSP|RIA Manual + PDFs & Links for any additional firm specific items uploaded for annual distribution
   

4. Review Current Rep's U4/CRD Information

1. Review Rep's U4 info. Review for any possible issues with licenses, state registrations, CE widow, and OBA.
   
1. If Consultant Assistance was added, this will be reviewed & reported
   
2. Optional: This is a good time for Firm to run a report of all accounts/states and compare with each rep's registrations
   

5. Review Status of Forms

Annual Rep: Form Status

Red/Required = Form has not been received

Orange/Received = Firm needs to review (see Command Ctr or the Approve directly in each report)

6. Review Due Diligence

Firm can perform Due Diligence on each Rep - or - request Consultant Assistance (see above). 

Specific Report is located: ANNUAL REP REVIEW > ANNUAL DD REVIEWS

1. If FIRM completes Due Diligence: 
   

Firm completes Due Diligence on Rep

1. CHECK if there was any information found that requires additional attention (this may be the need to alert or speak with a supervisor, CCO &/or Rep. An additional memo may be required or further actions required. Checking this box allows to easily locate records in the future)
   
2. Add any INTERNAL NOTE to give details about the info requiring attention. This information is NOT included in the Annual Rep Report.
   
3. Manually mark the Due Diligence as "Completed" (requiring someone to press the button later on the main report - or to leave as pending for someone else to review) or "Reviewed" (not requiring any additional person to review or button to be pressed
   
1. Many times the CCO or Principal will have someone assisting in the review, who will leave records as 'Completed' OR the firm wants to leave the record as "Completed" but not 100% Done "Reviewed" until they speak with the Rep and make any notes or corrections needed
   
4. Add Due Diligence notes to appear in the final report.
   
5. A common response for a rep that was reviewed, and nothing negative found, is available just below, Copy+Paste.

Annual Rep Due Diligence Review

1. If CONSULTANT completes the Due Diligence (or if Firm only marked as "Completed")
   

1. FILTER for "Not Reviewed"
   
2. Note any reviews requiring your attention
   
3. Review any notes left
   
4. Add any additional notes for file
   
1. Rt-Click > EDIT > "DD Notes" (Halfway down the form)
   
5. [Mark Due Diligence as Reviewed]

1. Either Manually while adding notes (see above image) -OR- w button in report
   

Right side of "Annual DD Reviews" report

7. When Rep 100% Completed Annual Requirements|DD Review

1. Once Firm is content with completion and review, press Annual Employee Project (report) > [Mark COMPLETE] button.
   
1. ***If Reviewer Name and Reviewed Date are BLANK, the system will:
   
1. auto-input Current Date + the Person's name that presses the button 
   
1. (this information/alert is warned in the popup window when pressing this button)
   
2. ***If another person reviewed, or it was reviewed on another date:
   
1. Rt-Click > EDIT > Scroll to bottom and add Reviewer Name &/or Date
   

8. Annual Rep Review Report

1. The ANNUAL REP REVIEW report can be printed/saved at any time by: Rt-Click Rep > PRINT
   
1. This will show the current status of each item.
   
2. The Final ANNUAL REP REVIEW Report is auto-uploaded to the Drive, with the reviewer's name & review date, over night, on the day the button is pressed (as is with all Reviewed Attestation)