All pending Profiles awaiting Compliance approval can be found in the Supervised Users >>Personal Profiles section of the Compliance Officers account. Changes are not live on the Advisor's Landing Page and/or communications until Compliance has approved.
Profiles Are Triggered For Approval When:
- A new advisor signs up and creates a new Profile.
- When 1 or more changes are made to a previously approved Profile.
To Review a Pending Profile:
- Click on your username at the top right-hand corner, then from the dropdown, click Supervised Users
- From the top purple navigation menu click Personal Profiles, this will display a list of pending Profiles requiring approval
- On the left, under Profile click on the Name of the advisor, this will bring you to their submitted Profile form
- The following fields require approval:
Title Professional title Name The name(s) that are displayed on all communications (landing page and newsletter). This is also the sender of any email communications and will appear in the form field to any recipients Designations Professional designations Picture Profile picture, click the hyperlink to view. The email address the advisor is using to communicate with investors - this is the sender of all email communications. Physical Address The physical address required anti-spam laws in Canada, USA, and UK. Signature Email signature, this appears following the newsletter introduction, and any email communications. Links URL links for Facebook, LinkedIn, Twitter, Instagram, YouTube, Goggle+, Vimeo, and Website(s) - include the https:// Phone number(s) Office, direct, cell, fax, and toll-free number(s) Call-to-action Add a link to an online scheduling tool or an email address allowing investors to schedule a meeting or direct them to your website to download a resource such as a white paper or access a calculator.
- On this form, you have the ability to:
- Approve the Profile --> Click approve profile at the bottom of the page, this will alert the advisor via email that their Profile has been approved and their digital business card will appear on their content.
- Reject the Profile --> Click reject profile if you do not approve one or more fields in the advisors Profile. Make sure to leave your feedback in the leave comments box, this will educate the advisor on the necessary revisions needed.
- Overwrite the Profile (Save Changes) --> Click save changes after the necessary changes have been made on behalf of the advisor. These changes will then appear on the advisor's content.
- Leave Comments --> In the reviewer notes box add a message for the advisor. This will send the advisor an email with your comment. When rejecting a Profile, we encourage compliance officers to leave a comment with the necessary changes required and/or commentary to educate the advisor on why their Profile was declined.
- Yellow highlights --> any fields highlighted in yellow indicate the advisor has made a change to their previously approved Profile, the yellow shows the changes made that require approval.
- View Previous Revisions --> The panel on the right will display previous revisions, and reviewer that took action, panel displays last 10 revisions (approvals and rejections).
- Audit Trail --> The top of the Profile page will provide a date/time stamp with the latest status.