Submitting Documents to the Back Office
- Mercedes Rothwell
Using the eSubmit App
The eSubmit App is usually accessible on the Advisor Dashboard. To use submit documents for a new account, proceed as follows:
Summary Page Actions
The Summary page shows the created Work Item's ID number and allows you to perform the following actions.
Print Coversheet
Click to open a page with the Work Item information.
Print and add this sheet to those paper documents that will be mailed to your operations team.
Print Barcode
Click to open a page with a barcoded sheet for this Work Item.
Print this sheet if you want to scan and add documents to this Work Item at a later time.
Upload Documents
Click to upload electronic versions of the documents (scanned or filled out electronically). The system opens the Direct File Uploader window.
Drag and drop your files into the pop-up window and click Start Upload.
When your upload is completed, the pop-up will close and the following messages will appear on the Summary screen: "Your documents have been uploaded."
Open Work Item
Click to open the Work Item that has just been created.
The transaction information sheet will be included.
The Work Item will show the following message:
"Folder required. Request type needs to be changed to an appropriate client activity request type for further processing"
Start New
Click to create a new Work Item for another Account. The app returns to the first screen.
Deployment
Please reach out to your support contact to deploy the eSubmit app for your site or refer to the Developer Guides for instructions on how to add an app to an interface and a menu.
Audience: Financial Professionals who work in the front office
Functionality: The eSubmit app gives the advisors a simplified way to submit business to the back office. It is used to easily create a new Work Item and to quickly upload filled-out forms and other scanned relevant documents (such as checks) for a new account. The documents are then indexed, organized, and processed by the back office employees.
Related Pages
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Filling Out Each Data File (RIA) (Docupace Platform User Guides)
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Building Validations (Docupace Platform User Guides)