Firm: Onboarding

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
  1. Start Date*
  2. Firm Assigned|Captured email*
    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.
    2. This ties together all attestations and is their portal login. Email can only be updated by contacting compliance@risccompass.com
*Once firm has added Start Date + Firm approved Email = [Onboarding Portal Invite] button will appear

2. Invite Rep to Onboarding Portal

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

  1. Send email by pressing [Onboarding Portal Invite] button
    1. An email invitation will be automatically sent from Compass
    2. An additional invitation will be sent (with any Firm Specific 'At Hire Only Documents' from Firm module), FROM the person that presses the button, saying:
Welcome to the ${Firm_Name} Team!

You will receive an email from 'compliance@risccompass.com' with initial login instructions for your secure rep onboarding portal.

If you have any issues, please feel free to reach out to me or them at the above mentioned email.
3. 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

4. Review & Accept|Reject the Attestations Received

  1. Top of the Onboarding Dashboard shows # of "Reps Submissions Pending Review"
    1. Clicking on it will take you to the COMMAND CENTER to see the specifics, by form
Onboarding Dashboard shows # of forms to review >> Command Center shows the breakdown by form
  1. See ‘Reviews’ instructions for details
  2. Click on each form under 'Submission Requiring Review' to review|accept|reject
    1. Attestations can be printed/saved at any time: Rt-Click > PRINT
    2. Attestations are automatically uploaded to the Drive, over night, on the day the Reviewed|Rejected button is pressed

5. 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) 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 deligate this to HR, the fields are not manditory but available to assist in not missing the requirement
Add Fingerprints & 3 Year Employment Verification

6. MARK COMPLETE when 100% Done


  1. WAIVE any forms firm deems necessary - this will bypass the form requirement but still allow for the Due Diligence and Report
      1. NOT recommended, but there are times when a firm decides to waive the requirement - such as for a non-registered person.)
      2. (If received via paper, firm can Rt-Click Rep > EDIT and mark individual form REVIEWED so that it appears on checklist report)
    1. Individual Forms: Firm can Rt-Click > EDIT, and individually select certain forms to 'Waive'.
    2. ALL Non-Reviewed Forms: Rt-Click > select "CCO Waive Doc Requirement"
      1. This will change any form status, that is not 'Reviewed' into a 'Waived' status
  1. [MARK COMPLETE] button when 100% completed
    1. Rep’s online access will automatically switch from the Onboarding Access to a Rep Access view
      1. IF Rep needs to be assigned a Approving or View entire firm access, select appropriate level in EMPLOYEES > Portal Access
    2. File Checklist is uploaded to Firm Drive
      1. File Checklist can be printed/saved at any time: Rt-Click > PRINT  (in progress or completed)


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