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title	View Changelog

Date	Changes
November 2022	Created initial version.
April 2023	Added details.
October 2023	Updated and finalized.

Overview

The Employee Manager is a data repository to hold data referencing all users of the application. This will include both W-2 and 1099 employees. It will include reps and sales support personnel as well as back office personnel. Each employee and Rep has a unique record stored in the database. Access to this database is restricted based on security settings.

To access the Employee Manager, click the ADMIN tab (1), then click on Employee Manager (2).

There are three tabs in the Employee Manager module:

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	search
	search

Search

tab

Tab

Overview

In the Employee Manager Search tab, you can:

Search employee records
Add new employees
Delete/modify existing employees
View historical employee data

Buttons

There are seven buttons located at the top of the Employee Manager window.

To generate a list of current employees, click the FILTER (A) button. You may enter search criteria to narrow your results.
Click the ADD EMPLOYEE (B) button to create a record for a new employee. The system will open a blank Employee Detail window.
Select the employee from the results list and click the REMOVE EMPLOYEE (C) button to remove the selected employee.
To view the details about a specific employee, click the DETAIL (D) button. The system opens the Employee Detail window with information about the selected employee.

Tip
Tip: Alternatively, double-click on an employee in your results list to view its details.

Select the employee from the results list and click the HISTORY (E) button to view a history of events. The system will open a blank Event History window.
Select the employee from the results list and click the AUDIT HISTORY (F) button to view the audit history. The system will open the Audit Monitor window.
Select the employee from the results list and click the TO DO (G) button to create a new task. The system will open the Task Detail window.

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	add-employee
	add-employee

Adding an Employee

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Click the ADD EMPLOYEE button in the upper right section of the Search window.

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In the Employee Detail window’s General tab, enter basic information.

See the Employee Details document for more information.

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Enter the information in the RepID, Location, Manager, and Business Roles tabs.

Note
Warning: The RepID is required to associate trades with the employee.

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Click SAVE in the upper right section of the window when finished.

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	remove-employee
	remove-employee

Removing an Employee Record

Note
Warning: If the employee record is linked to other objects (contacts, trades, accounts, etc.), the system will not allow you to delete it.

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Go to ADMIN (1) > Employee Manager (2).
Enter the search criteria and click FILTER (3).

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Select the relevant Employee record (1) and click the REMOVE EMPLOYEE button in the upper right section of the window (2).

If no other objects (contacts, trades, accounts, etc.) are associated with the Employee, the record will be deleted.

Note: When you delete an employee record, it will show up in the Audit Monitor.

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	employee-details

Employee Details

Select the employee and click DETAIL to see or modify the existing employee.

See the Employee Details document for more information.

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	history

History

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title	Event History

The Event History window displays all events (appointments, calls, tasks, etc.) for each employee based on the selected filter settings.

To open this window:

Select the employee and click HISTORY.
Define the filter settings you want and click FILTER.

To delete the event, select the event and click DELETE.
To display event details, select the event and click DETAIL.
To view the links with another events, select the event and click LINK:

1. In the Event Link Browser window select filter parameters and click FILTER (1).

2. Open the required event from the Preceding or Subsequent Events list (2). The system opens linked Task Detail window.

3. To delete the link, select the required event from the Preceding or Subsequent Events list (1) and click DELETE (2).

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title	Setup

Attributes

There are three standard attributes available:

Account GID - unique identifier of the account
Acct. Latest Annual Review
Letter

Click ADD to define a new event.
Click DELETE to delete the attribute from the database.
Click SAVE to save the entered data.
Click CANCEL to reject changes.

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	to-do
	to-do

To Do

The main purposes of this module are:

To create tasks for producers (reps and advisors) and track their completion using the built-in Calendar
Create reminders for yourself, reps or advisors to track interaction with investors in the Calendar.

Action Buttons

RESCHEDULE - Reschedule the task to another time
SUBMIT - Complete the task (Status Completed)
INCOMPLETE - Mark the task as no longer needed
REASSIGN - Reassign the task to another person
SAVE - Save the task
CANCEL - Abandon the changes
COMPLETE QUALIFIED - Mark the task as successfully completed where the contact was a qualified sales opportunity
COMPLETE NON QUALIFIED - Mark the task with no result where the contact was not qualified to purchase security (The checkbox Not Qualified is selected correspondingly)

Creating a Task

There can be different types of tasks:

Task for an employee (prepare documents, meet a client, organize a meeting, etc.)
Appointment with an employee
Task (reminder) for yourself, etc.

Therefore, the creation process of these tasks differs. Basically, you can create them with the To Do option and alternatively with the Calendar.

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Note: For the tasks involved with the customers, the contacts are optional. For the appointments, they are required.

Task for an Employee

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First, select Employee from the list, then click TO DO to open the Task Detail window.

Contact Information section in the upper left side of the screen is related to Customers. Search for the existing Customer.

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Enter First Name, Last Name, SSN, Home Phone or Account Number(1) and click SEARCH (2) or
click SEARCH (2) to open the Contact Search window to see more parameters for searching.

Tip
Tip: If you enter First and Last Name and click <CTRL> and <Tab>. If there is only one match in the database, the system displays it directly in the Task Detail window.

Note: Click ADD CONTACT to open an empty Contact Search window for creating a new contact.
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In the Contact Search window, specify the search parameters and click FILTER (1).
Info
Info: For more information about contacts, see the Contact Maintenance guide.
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[Optional]
a) Select the contact from the list (1) and click DETAIL (2) to open the Contact Details window.
b) In the Contact Details window’s tabs, modify some information, if required, and click SAVE.
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Click SELECT (3) to open the Task Detail window for the selected Customer. The system adds the selected Customer to the Task Detail.
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Tip: Click the DETAIL button to open the Contact Details directly.
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The Assigned Employee section of the Task Details window displays the following fields:
Task type (read-only)
Assigned Employee (read-only)
Task creation date (read-only)
Due Date (marked) - specify the date.
Note: In case the assigned employee has multiple locations, to schedule an appointment, select the correct location from the Location dropdown.
(Optional) Check the Employee checkbox and select the alarm time from the dropdown to send the reminder.
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(Optional) In the Task Content section, select a Subject Type from the dropdown.
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To make a note, describe the task inside the Notes tab.
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Click SAVE (at the bottom of the screen).

How to View Open Tasks

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To see a list of open tasks for the current user, select SALES > Calendar.

Info
Info: To see all tasks (complete and open), go to the Event History instead.

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In the Calendar, select Employee (1) from the dropdown. The To Do list (2) will be displayed at the bottom of the window.

Note: When creating a task for yourself, the system assigns a task status Accepted. After creating a task for other person, they have a choice to accept or reject this task.

How to Create a Follow Up

Basically, a follow up is a second appointment because the current one is finished. You can use the Follow-up function to follow the execution of the task.

After creating a task, e.g., appointment:

Click the FOLLOW UP button (1).
Select the date (2).
Click SAVE (3).

To follow up this event, go to the Event History module.

How To Modify a Task

To modify a task, open it by double-clicking.

You can add a new note (the existing one is not changeable).
You can change a due date.
Click the REASSIGN button to assign a task to someone else. Select the Type and Employee in the Assigned Employee section. You can change the Due Date and Location as well. Click SAVE. The task will have a Reassigned status.

Outcomes

The Outcomes section contains four checkboxes:

Sale
Referral
Plan
Not Qualified

Use these after the task execution. After creating a task, these check boxes automatically update the status flags for reporting purposes.

The system displays the task’s current status at the bottom of the screen. Basically, the status can be changed by action buttons at the bottom of the window.

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For example, if you sold some funds, make a note, check the Sales checkbox, and click SUBMIT.

The status tab shows all statuses. These fields are read only.

You can customize them. See Contact Maintenance module on how to set up the status flags.

When creating a task for employee, they can accept or reject it.

Assigning Attributes

Account Latest Annual Review - For appointments related to advisory accounts, you are required to meet with the client at least once a year. To document it, enter the date of the annual meeting.

Account - Assigned employee’s advisory account.

Letter - Enter the title of the letter (address change, appointment confirmation, written correspondence, etc.).

How to Add a Form to a Task

Note: This feature is rarely used.

Sometimes, the client agrees to buy something. In this case, you need to fill out a form.

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In the Outcomes section, click FORM INFO.

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Select a form from the list (Fixed Indexed Annuity in the example).

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Fill out the form and click OK.

The system sends the filled form to the Rep.

Creating a Task Using Calendar

The calendar option for task creation is similar to To Do option. Just some steps are different.

With the Calendar you can create:

A task for yourself
A task for somebody else (if you are a manager)
An appointment for yourself
An appointment for somebody else (if you are a manager).

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Go to SALES > Calendar.

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Select the Employee for the task from the User dropdown (1) first. Then click the TASK button (2).

The calendar will show the tasks assigned to the selected employee.

Info
Info: Current user in the upper left dropdown is selected by default. When creating a task for yourself, this and the next two steps should be skipped.

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In the Task Detail window, click Search for the Contact

Note: For tasks, which do not involve customers, leave the Contact Information blank.

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In the Contact Search window, specify filter parameters or click FILTER directly (1). Then select a contact from the list (2) and click SELECT (3).

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In the Task Detail window:

Select Type To Do and Due Date (1) from dropdown
Describe a task (2)
Click SAVE (3).

Note: When creating task for yourself, leave the Contact Information section blank.

The system displays a task in your or assigned Employee’s To Do list.

Note: When creating a task for yourself, it automatically is accepted.

Events

How to Schedule a Phone Call or an Appointment

Unlike other tasks:

Define additional required fields for organizing meetings and reminding phone calls

a) location (place, room)

b) time (there may be others).

Results must be specifically recorded using the alternative set of action buttons.

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To schedule a phone call or appointment for a period of time, select user from the dropdown (1) and click ADD EVENT (2) in the Calendar.

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Select the Employee for the task from the User dropdown (1) first. Then click the TASK button (2).

The calendar will show the tasks assigned to the selected employee.

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In the Event Detail window, click SEARCH.

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In the Contact Search window, specify filter parameters or click FILTER directly (1). Then select a contact from the list (2) and click SELECT (3).

(Similar as with creating a task.)

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In the Event Detail window:

Specify parameters (Date, From, To, Type=Phone Call or Appointment, Location) (1)
Make a note (2)
Click SAVE (3).

Info
Info: The system displays default location for the employee. Select another location for the meeting or appointment if the employee is working from several locations and they are located elsewhere at the given moment.

The system displays a task in the To Do list.

(Similar as with creating a task.)

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For appointments and meetings (and sometimes for phone calls), it is important to record the results - whether the meeting took place and whether the investors were qualified.

KEPT - The appointment was kept
KEPT QUALIFIED - The appointment was kept, and the investors were qualified
KEPT NON QUALIFIED - The appointment was kept, but the investors were not qualified
MISSED - The appointment did not take place

Select the appropriate item (1) and click SAVE (2).

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	hierarchy

Hierarchy

tab

Tab

The Hierarchy tab displays employees in different levels ranked according to their roles. For example, if selecting any manager, the system displays all the Reps working for this manager.

First Name: Enter the employee’s first name.
Last Name: Enter the employee’s last name.
As Of Date: Select a date to view the hierarchy at that moment.
Exclude Terminated: Check this box to exclude terminated employees.
Show All Hierarchy: Check this box to display all hierarchical levels.

Click the tabs below to learn more about each subtab.

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title	Management

Click Employees. The window displays all managers.

Select the Employee and click DETAIL to open the Person Detail window.

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title	Business Role

The Business Role tab gives a hierarchical look at defined business roles, and at everybody within each business role. Select the business role to display all employees with this role (HomeOfficeData in the example).

Select the Employee and click DETAIL to open the Person Detail window.

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	setup

Setup

tab

Tab

Buttons

Click the ADD button to add a new item.
Click the DELETE button to delete the selected item.
Click the SAVE button to accept and save the entered information.
Click the CANCEL button to revoke the latest entered information.

Click the tabs below to learn more about Setup.

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title	Employee Status Flags

In the Employee Status Flags window, you can create Employee Status Flags the same way as in other monitors. Select the required value from the list to display the status flag properties.

Status Flag Name: Name of the status flag
Description: Description of the status flag
Flag Value: (mostly not used) If for some reason you need to follow this user, you must set this value manually.

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title	Producer Groups

Producer groups are groups of reps who work together in one office with a common brand or company name. Often they are financial planning firms or Registered Investment Advisory companies.

(rarely used)

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title	Attributes

Set the Status Flag if you need to track an employee's activities, a transaction, or product price changes. Use Attributes if you need multiple and complex tracking criteria.

In the Attributes window, you can create attributes as in other monitors. Select the required value from the list to display the attribute properties.

Name: Name of the attribute.
Display Name: Name of the attribute displayed in the system.
Description: Description of the attribute.
Type: Dropdown with attribute types (Date, text, integer, long integer, numeric, character, logical).
Display Component: A list to select in which format to display the attribute.
Order: The sequence of how the system displays the attributes in the tab.

Audience: System Administrators, Managers.

Info
Functionality:The Employee Manager module allows administrators to enter employee data and related information, assign access rights, and more.

Versions Compared

Old Version 179

New Version Current

Key

Overview

Search

Tab

Overview

Buttons

Adding an Employee

Removing an Employee Record

Employee Details

History

To Do

Action Buttons