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Additional Reviews
"Your firm can choose from three New Account workflow templates (Small, Standard, and Large). The Standard and Large workflows include additional options for routing between the Service Associate (SA) and the Financial Professional (FP) before signing Client’s account documents. Your Docupace team will review the options during implementation."
Example (Sending a Work Item to eSign)
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There are several Service Associates and Financial Professionals pre-configured.
The Service Associate and the Financial Professional will not always have a one-to-one relationship. Several FPs could share one SA, or conversely, several Service Associates could share one Financial Professional. User role and access rights determine the associations.
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A. Service Associate
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To create a new account, click Quick Start.
In Quick Start, click New Account Opening.
Fill out the Account Setup form and click NEXT.
Fill out each of the Client fields and click NEXT.
Fill out the Primary Holder fields and click NEXT.
Fill out the Government Issued ID fields and click NEXT.
Fill out the Legal Address fields and click NEXT.
Fill out the Employer Info fields and click NEXT.
Fill out the Final Review fields and click CREATE WORK ITEM.
Click OPEN WORK ITEM.
Resolve the validations (required - marked in red, optional - marked in yellow).
Click Save (1). Click Send to FP Review (2).
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B. Financial Professional
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Log in as a Financial Professional.
Click the Get From Pool icon from the FP Review queue.
Open the Work Item.
Review the documents and click the Save icon.
Then, the FP can:
Click eSign (under the Actions dropdown). The system opens the Work Item Details screen.
Note: Historically, the signed documents go to the Back Office for review after receiving the signatures. Then Back Office Processor reviews and opens the account if everything is in good order. However, Schwab has its own DocuSign account and different eSign process. After receiving the signatures, the system sends the Schwab documents to Advisors Own. There is no account opening process in the Back Office for Schwab.
The system verifies the documents and displays a confirmation message.
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C. Client
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Client receives an email.
The client must open the documents and sign them.
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D. Service Associate
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The user assigned as the Financial Professional in the eSign Recipients screen receives an email when all eSign recipients have signed the documents.
Log in as a Service Associate.
Open the Work Item.
As the Service Associate, review the documents and send the Work Item to the Back Office.
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Audience: Users of RIA Productivity Suite, Service Associates, Financial Professionals
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Feature: The RIA Productivity Suite is a toolkit for Advisory firms to digitize, streamline, and automate operations. Once Advisors fill out the forms for a New Account Opening, they can choose to wet sign or eSign the account documents. |
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