Note: This article is only applicable to Compliance Admin users
This article provides a guide on how to navigate and review profile and website submissions as a compliance admin. It covers various sections of the compliance queue, how to show changes on a case, and the processes for approving, rejecting, adding notes, and editing on behalf of the advisor.
Submissions
When something is "Published" in an advisor dashboard, the compliance admin will see their submission in one of the following sections. NOTE: The number displaying next to each section indicates the number of advisors who have submitted cases, NOT the number of cases in that section.
-
New Websites: Newly built website submissions appear here. These still need approval of the Profile Information section.
-
Website Changes: Changes made to the website after the initial build is approved are listed here.
-
Custom Email: Custom emails created and "Published" in an advisor dashboard appear here.
-
Email Sequences: A series of emails scheduled to be sent over a period of time.
-
Social Media Posts: Custom social media post submissions are located here. NOTE: this is only available if your organization has elected to turn on the social review setting.
-
Greeting Cards: Physical, mailed out cards scheduled to send appear here.
-
Profile Info: Changes made to the profile information section in the advisor dashboard. This includes disclosures, contact information, logos, portrait images, and social media URLs.
-
Groups
Submissions Review Page
-
Advisor: The advisor account that submitted this case.
-
Queue
-
Submitted (age): This is when the case was submitted with a age count (number of days it has been in the queue)
-
Cases: The number of cases submitted by an advisor account. To review each case, click on the number and a pop-up will display. To review each individual case, click on "Review."
-
Action: Review the compliance case item.
Compliance Case Page
After selecting "Review" on an individual case, you will be brought to a Compliance Case Page.
-
Occasionally, there will be a red with a strikethrough or green highlighted section on a content piece, website change, etc. This shows what was removed or added to the original case submission. Our system also highlights flagged words in red or yellow.
-
Preview: Select this to preview the change on a website or see what an email/social post looks like.
-
Edit: To make changes or edits to the submitted website case or content case. NOTE: Selecting edit will bring you to the advisor’s account and you will be impersonating that advisor. Any edits made to a case item will need to be re-submitted to compliance and approved.
-
Case Notes: To leave notes on this case for other compliance officers or for everyone (including the advisor). If the “Compliance” option is selected only compliance officers will see the notes on the case. If “Everyone” is selected, the notes will be available for compliance officers under the notes on the case and they will also be visible for an advisor in their compliance history tab.
-
Case history: Shows all previous cases related to the case. It will show all approved and rejected history as well as case notes.
-
Download: This option is only available with email submissions.
-
To make an action for a case, at the top right of the page, there will be three buttons; "Approve", "Reject", and "Skip." NOTE: When rejecting a case, it will be required to leave a note for the advisor to review.
Libraries
This section houses different approved content including: Web Content, Syndicated Pages, Email Library, Downloadables, Monthly Market Insights, Holiday, Birthday, Retirement Insights, Lead Generation, Referral Program, and Greeting Cards.
-
Pending Review: This section will have a number displaying next to it each NEW/Unreviewed item in Web Content, Lead Generation, and anything under the new "Automations" dropdown. Approving these items will make the content available to advisor accounts. However, unreviewed items in the Syndicated Pages, Email Library and Downloadables do not factor into the “Pending Review” number or flow into the quick list it generates. Compliance team members will need to click into those sections separately to find anything that has yet to be reviewed or was intentionally not approved.
