Firm: CE - Marking as Completed or Remind Rep

Firm: CE - Marking as Completed or Remind Rep

NOTES:
  1. Until the Rep completes their annual CE regulatory requirement, it will appear in the 'Open CE Windows' report and is accounted for in the Command Center Dashboard.
    1. Reps must complete CE annually by 12/31.
    2. This date can be edited at any time by editing the Rep in 'Employees' report
  2. Compass automatically emails them every month reminding them to take their CE, + provides links and instructions to assist them.
    1. The email instructs them to advise the firm once they have completed it successfully. 
  3. The firm must manually reset their CE date in Compass to stop the reminder emails
  4. *The CCO, Rep & Supervisor receive an additional warning email when it is the last day of the CE window

Command Center -OR- Employees>Open CE Windows

  1. Shortcut:  Command Center Dashboard > Open CE Windows  -OR-  Direct:  Employees > Open CE Windows
  2. Scroll to the Right and select [CE Completed + 1yr] button to update their CE window dates
  3. IF you wish to send a reminder email to rep, press the [CE Reminder Email] button
    1. (it will be the same wording as the automatically sent one from Compass, but will come from YOUR email)

Example: CE reminder email






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