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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 routing options between the Service Associate (SA) and the Financial Professional (FP) before signing the Client’s account documents. Your Docupace team will review the options during implementation.
Example (Sending a Work Item to eSign)
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Several service associates and financial professionals have been 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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Create a new account as described in How to Open a New Account. Click Send to FP Review as the last step in the account creation process.  |
B. Financial Professional
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Open the main Dashboard and click the FP Review queue.
Click the Get From Pool icon next to the FP Review queue. 
Click on the Work Item that you need to review. 
Review the documents. Click the Save icon if you have made any changes. 
Decide whether to:
To When you choose to sign the documents electronically, the system opens the eSign Transaction Details screen. Click on each Recipient to add missing authentication details. Then click eSign (under the Actions dropdown). The system opens the Work Item Details screen.  in the top toolbar.
The system verifies the documents and displays a confirmation message. It then sends a notification email to the Client requesting they eSign.  Note: Historically, the signed documents go to the Back Office for review after receiving the signatures. Then, the Back Office Processor reviews and opens the account to see if everything is in good order. However, Schwab has its own DocuSign account and a different eSign process. After receiving the signatures, the system sends the Schwab documents to Advisors Own. There is no account opening process for Schwab in the Back Office.
The system verifies the documents and displays a confirmation message. It then sends a notification email to the Client requesting they eSign. |
C. Client
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A The 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. 
A Service Associate logs into Docupace and opens the Dashboard.
Select the current queue with the eSigned Work Item. Open the Work Item. 
As the Service Associate, review the documents and send the Work Item to the Back Office.  |
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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