1. Service Requests New Proposal CSA Service Requests AA Service Requests
Description: This workflow describes all the steps required for a Associate Advisor (AA) to initiate and manage a client a service request. As opposed to the Client Service Associate (CSA), the AA typically manages the following Service Request processes: Strategy Management (Portfolio Level), Fee Management, Trade Requests, and Tax Management. Breakout of service request responsibilities between the AA and CSA is based primarily on roles and backgrounds.
New Proposal
CSA Service Requests
AA Service Requests
Process Checklist
PREPARE
ROLE
STEP
DETAILS/TIPS
Associate Advisor
Retrieve &/or Populate Necessary Forms
Document details of the request in CRM
Navigate to all relevant systems to retrieve and populate necessary forms
This could be both a paper or online form, depending on the transaction
Process Checklist
CONDUCT
ROLE
STEP
DETAILS/TIPS
Associate Advisor
Process Request & Notify Stakeholders
Submit all necessary forms in order to process the request
Notify the appropriate representatives within the firm
Inform the client that the request is being processed
This is to ensure the client is aware of that the activity has been initiated
Advisor
Review & Approve Request
(if applicable)
Navigate to all relevant systems to review the request & approve as appropriate
Typically these are requests that compliance require Advisors sign-off on
Process Checklist
FOLLOW-UP
ROLE
STEP
DETAILS/TIPS
Associate Advisor
Ensure Execution of Request & Notify Client
Check all relevant systems for confirmations or pending alerts
If there is an issue with the request:
Take the appropriate steps to resolve that issue, which might require some coordination with team members and third-parties
Provide status updates to team & client as appropriate
Notify client once request is executed
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