1. If Firm uses a generic agreement, it can be added to FIRM INFO and it will auto-send with prehire
   

2. Set Up Firm Email

1. Ensure it’s being captured
   
2. Ensure Rep has access
   

3. Determine the Rep’s Start Date

4. Update the Record in RISC Compass (add start date and email)

1. Go to: Onboarding Pipeline
   
2. Right-click > EDIT to add the email and start date > UPDATE (button at bottom)
   
1. This is the identifier for each person, and should not be changed in the future. Only fill in when proper email is decided|created
   
3. Right-click > Mark AGR Reviewed (or "Send Agreement" to resend it)
   

5. Send Portal Invitation

1. *Once firm has added Start Date + Firm approved Email = [Onboarding Portal Invite] button will appear
   
2. Onboarding Pipeline > [ONBOARDING PORTAL INVITE] button -or- via right-click
   
1. Email will be sent FROM "compliance@risccompass.com", TO rep's firm email
   
2. Username is Rep's FIRM EMAIL, all lower case.
   
3. Rep will create their own password, and can reset their own password at any time

NOTE: The Onboarding Rep Portal provides the Rep with:

1. Detailed instructions at the top of the page
2. the email for the CCO
   
3. latest copy of firm's WSP & RIA Manual
   
4. Current CE Window Dates (RED if window is open & rt-click > Print provides them with detailed firm instructions to take CE)
   
5. Fingerprint Instructions button
6. a link directly to Finra's FinPRO website where they login (or create login info, or reset password) to review their U4 information
   
7. onboarding forms: Compliance Questionnaire, Disclosures, Brokerage Accounts, OBAs, Communications (IMs, etc), Social Media, Websites
   

6. Request U4 Information (if registered or exam window needed)

1. Right-click > "Send Email to gather U4 INFO
   
2. Email is sent to rep’s personal AND firm email addresses, CC to person sending info
   

Example: U4 Info Emai

7. Notify the person entering the U4 that you give the green light to proceed

1. ​As received in email (above ‘When Firm ACCEPTS PreHire’)
   
1. Email these questions/answers to whomever will be entering the U4:
   
2. Will the rep be an employee or independent contractor?
   
3. *Where will the rep work from (location)?
   
4. *What state(s) need registration?
   
5. *Are any exam windows needed?
   
6. *ii, iii, iv are also sent to Rep in "U4 Info" email
   

8. Review Status of Documents

Document Status

Red/Required = Form has not been received

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

Green/Reviewed = Completed

Grey/Waived = Firm decided not to require this form from this Rep

9. Review & Accept|Reject the Attestations Received

1. 
   Above Onboarding Pipeline you will note the # of each attestation pending review. 
   
2. Click on Attestation button to jump to that report
   
3. Attestations are automatically uploaded to the Drive, over night, on the day the Reviewed|Rejected button is pressed
   
4. Attestations can be printed/saved at any time: Rt-Click > PRINT, but are auto-uploaded to Drive each night, after approved/rejected

10. Add Fingerprint Date & 3 Year Review Information

1. Right-Click > EDIT
   
1. Add date CRD shows fingerprints as Completed
   
1. This forces firm to review 1) it was done 2) the status of the fingerprints or any findings
   
2. IF Rep has not completed fingerprints:
   
1. 1) refer them to their Dashboard for instructions, or
   
2. 2) Rt-Click > Email Fingerprint Instructions
   
2. Add notes|details for the 3 Year Employment Verification
   
1. **Make sure to update to "Completed", otherwise it remains pending the other calls/emails
   
2. Some firms delegate this to HR, the fields are not mandatory but available to assist in not missing the requirement
   

Add Fingerprints & 3 Year Employment Verification

11. MARK COMPLETE when 100% Done