Approval: IT Director Security Training Verification
6
Provide Company Policy Manuals
7
Provide Regulatory Compliance Documents
8
Complete Regulatory Compliance Training
9
Approval: Compliance Officer Training Verification
10
Introduce to Team Members
11
Setup Partner Workstation
12
Provide Client Contact Lists
13
Provide Access to Financial Tools & Software
14
Approval: IT Director Access Verification
15
Provide Business Cards and Stationery
16
Schedule First Client Meeting
17
Assign a Staff Mentor
Collect Personal Information
Please provide your personal information. This information is required for onboarding and compliance purposes. We will handle your information with utmost confidentiality.
1
United States
2
Canada
3
United Kingdom
4
Australia
5
Germany
Issue IT Equipment
To ensure you have the necessary tools for your role, please let us know what IT equipment you will require. If you have any specific preferences, feel free to mention them as well.
1
Laptop
2
Desktop
3
Monitor
4
Keyboard
5
Mouse
Setup Partner Email Account
We need to create an email account for you to communicate internally and externally. Please provide the necessary details for your email account setup.
Complete IT Security Training
Data security is of utmost importance to us. To ensure you understand the policies and procedures for safeguarding confidential information, please complete the following IT security training.
Approval: IT Director Security Training Verification
Will be submitted for approval:
Complete IT Security Training
Will be submitted
Provide Company Policy Manuals
Familiarize yourself with our company policies and guidelines. Please review the following policy manuals:
1
Code of Conduct
2
Employee Handbook
3
IT Security Policy
4
Anti-Money Laundering Policy
5
Privacy Policy
Provide Regulatory Compliance Documents
To comply with regulations, we require the following documents to be submitted. Please provide the necessary information to complete the required compliance documents.
1
Proof of Identity
2
Proof of Address
3
AML Questionnaire
4
Financial Advisor License
5
Professional Certifications
Complete Regulatory Compliance Training
To ensure adherence to regulatory guidelines, please complete the following training program on regulatory compliance:
Approval: Compliance Officer Training Verification
Will be submitted for approval:
Complete Regulatory Compliance Training
Will be submitted
Introduce to Team Members
We would like to introduce you to your team members. Please provide the necessary information to help us connect you with the right people.
Setup Partner Workstation
Your workstation is your command center as a financial advisory partner. Please let us know your workstation preferences, such as the operating system (Windows, macOS), software requirements, and any additional equipment needs. We will work towards setting up a workstation that suits your preferences and ensures optimal productivity.
1
Windows
2
macOS
Provide Client Contact Lists
To kickstart your client engagement, we will provide you with a list of existing clients. These contact lists will include their names, contact details, and any specific notes or preferences related to each client. Please confirm whether you prefer a digital copy or a printed copy of the contact lists.
1
Digital Copy
2
Printed Copy
Provide Access to Financial Tools & Software
As a financial advisory partner, you will have access to a range of financial tools and software that will aid you in your day-to-day activities. Please let us know your preferences for the following tools and software, and we will provide you with the necessary access and support.
1
Tool 1
2
Tool 2
3
Tool 3
4
Tool 4
Approval: IT Director Access Verification
Will be submitted for approval:
Provide Access to Financial Tools & Software
Will be submitted
Provide Business Cards and Stationery
Professional branding is essential for a financial advisory partner. We will provide you with business cards and stationery that reflect our brand identity. Please provide us with your name as you would like it to appear on your business cards, along with any specific design or customization preferences you may have.
Schedule First Client Meeting
The first client meeting is a crucial step in building client relationships. Please let us know your availability and preferred meeting time slot for scheduling your first client meeting. Additionally, provide us with any specific instructions or agenda items for the meeting. We will work towards finding a suitable time slot and coordinating with the client to finalize the meeting details.
Assign a Staff Mentor
To support your onboarding and facilitate your integration into our team, we will assign you a staff mentor. Your mentor will be an experienced financial advisory partner who will provide guidance, answer your questions, and share industry insights. Please provide us with any preferences or specific areas of interest you have regarding your staff mentorship so that we can best match you with a suitable mentor.
