Rep Dashboard

Rep Dashboard

Rep Dashboard
  1. Location of Firm’s most current versions of WSP (Written Supervisory Procedures) & RIA Manual
  2. [WSP Attestation] Button will attest to your having access, and responsibility to adhere, to the WSPs/RIA Manual w date of last attestation
    1. ONCE COMPLETED, PDF of your attestation will be filed with Firm’s Compliance
  3. FinPRO – 1) Access to your information in Finra 2) review U4 information or 3) take CE
    1. You must create a user name/password directly with Finra. You can also reset password directly with them
    2. All detailed instruction for FinPRO are provided on the site - follow link
  4. CE Window, will show RED if window is open
    1. CLICK for a pop-up of detailed instructions to take CE.
    2. Email CCO when CE is completed -OR- if you have any questions
  5. Submit information concerning
    1. Advertising|Communication w the Public,
    2. any checks received (and give to Ops/Compliance immediately),
    3. or any Complaint received (and speak with your compliance officer
  6. Firm Notification Center
    1. Any firm notifications pinned by compliance will appear here, in addition to having received via email
  7. Links to blank forms
    1. *If more than 1 need reporting, enter ONE PER FORM*
      1. Example: 1 form PER brokerage account, or per OBA
  8. Reports of Submitted Attestations -or- to RE-ATTEST or CANCEL a previously submitted attestation
    1. Click on grey square > Re-Attest or Cancel
    2. ***Attestations can be printed/saved at any time: Rt-Click > PRINT
  9. Knowledge Base = Detailed Instructions about steps, dashboards and attestations

    • Related Articles

    • Firm: Command Center Dashboard

      Command Center PRINT/Save to PDF the dashboard view of all data Shortcuts to Compass Knowledge Base and Instructions (detailed How-To instructions) Breaks down the number of active (non-terminated) reps the Firm has, by type MY FIRM Middle line is a ...

    • Firm: Review Submissions|Attestations|Forms

      Access the forms needing review You can see ALL forms that were submitted and require your review on your COMMAND CENTER Dashboard (see image below) You can also access the forms directly by going to the corresponding report on the left side of your ...

    • Rep: Onboarding Dashboard

      Onboarding Portal Map Link to the regulator's site to review record. If BD/RIA, use Finra's FinPro Link to 1) review U-4 info 2) Take CE You must create an account directly with that link. You can reset your password directly if needed. If with the ...

    • Firm: Annual Rep Review

      1. Add Names|Reps to the Annual Review Employees (report) > Select Names (you want to add to the annual review) **Remember to FILTER, do not select terminated Reps Select [Annual Rep Review + Consultant Assistance] if you wish for assistance with the ...

    • Rep: Annual Attestations

      Rep Dashboard Firm’s most current version of WSP (Written Supervisory Procedures) & RIA Manual FinPRO – Access to your information in Finra – to review U4 information (or to take CE) You must have or create a login directly with Finra, instructions ...