Firm: Command Center Dashboard

Firm: Command Center Dashboard

Command Center
  1. PRINT/Save to PDF the dashboard view of all data
  2. Shortcuts to Compass Knowledge Base and Instructions (detailed How-To instructions)
  3. Breaks down the number of active (non-terminated) reps the Firm has, by type
  4. MY FIRM
    1. Middle line is a link to the Firm’s Compass Drive
    2. Bottom line shows CRD #, Type, Fingerprint Code
    3. Right-Click > EDIT to access/edit the following firm info:
      1. CCO/Compliance Email/Address for system automations and letter generating
      2. FIRM SPECIFIC FORMS for attestations and processes:
        1. Onboarding/Annual Firm Documents:
          1. WSP, RIA Manual, additional space for PDF/Link documentation
        2. At Hire Only Documents
          1. Space for 3 PDF and 3 Links
        3. PreHire Forms
          1. Generic Agreement (Not person specific) & Additional Space
        4. Additional Firm Forms
          1. Current ADV, Fgn Finder, TriParty, etc
  5. SEND FORM: Library of forms that can be sent via email to any rep in Compass
  6. 3210 (Old 407) Authorization Wording: If a rep needs a letter pre-authorizing the opening of a brokerage account.
    1. Once it is opened and an account number is assigned, the Rep must fill out a Brokerage Account attestation form
  7. BLAST NEW NOTIFICATION: Quick Link to create a new Firm Notification
  8. COMPLIANCE TASKS: Items in the Compliance Calendar that need attention
  9. BOOKS & RECORDS DOWNLOAD LINKS: Books & Records Download Links: # of links that need to be downloaded and|or confirmed as downloaded
    1. RISC Compass periodically adds download links to ensure all pdfs in the Firm's Compass Drive are downloaded at the firm and saved according to firm policy. 
  10. MINI AUDIT: The firm has the ability to perform intermal audits or reviews. This will keep track of the number of reviews still open.
  11. BRANCH AUDITS: Number of branches (OSJ or Branch) that are due for a review
  12. PREHIRE: # of PreHire candidates in progress
  13. ONBOARDING: # of Reps in process of Onboarding
  14. ANNUAL PROJECT: # of Reps in process of the Annual Rep Review
  15. EDD: # of EDD requests in progress
  16. ADVERTISING/COMMUNICATION: Any submissions pending review, not marked as returned/approved
  17. CHECK LOG ITEMS: # of checks to have been marked as received but have not been marked as sent out/forwarded
  18. OPEN CE WINDOWS: alerts to reps with windows open.
    1. Will direct you to a detailed report with the ability to remind, see details, and update CE window date (if completed)
    2. *Note: compass sends auto-reminder emails to rep every 2 days until the dates are updated in the system
      Example: CE reminder email
  19. OPEN COMPLAINTS: Lists complaints that have been reported to compliance (or process started) but have not been closed/reported/or marked as an 'inquiry'
    1. (inquiry = determined not a complaint, but firm wants to keep record, in case future issues arise)
  20. HEIGHTENED SUPERVISION >30 DAYS: This lists the # of Heightened Supervision reps that have not had a review/memo in over 30 days.
    1. Will direct you to a detailed report with the ability to create and document memos/reviews
  21. PRODUCING MANAGER >30 DAYS: This lists the # of Producing Managers that have not had a review in over 30 days
    1. Will direct you to a detailed report with the ability to create and document memos/reviews
  22. PENDING STATEMENTS: Lists the # of reps who have attested to having a brokerage account, but you have not marked it as received by firm
    1. Will direct you to the report where you can mark received, -OR- produce the letter/wording to request
  23. WSP NEEDS ATTESTING: # or reps who have not attested to the WSP in 12 months+
    1. Reps can attest to the WSP by
      1. clicking on the Attestation button on the Rep Dashboard 
      2. completing a Compliance Questionnaire
  24. SUBMISSIONS REQUIRING REVIEW: # of forms/attestations that have been submitted and are pending review
    1. Each form square will take you to that particular report to review
  25. CANCEL FIRM ACCESSES: # of reps that have been terminated, but need firm accesses cancelled
    1. Firms (optionally) can keep track of the different equipment, drives, program logins, keys, etc that are assigned to each employee.
    2. Once terminated, it provides a checklist of what needs to be returned or cancelled.
  26. CANCEL PORTAL ACCESS: # of reps that have been terminated, but need their access to Compass Portal cancelled
    1. Will take you to the report where you cancel via a buton





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