Facts and Names
This is the year the NAACP was founded
What is 1909
Most of the CCG team has been engaged in the DB assignment either on the Policy or IFS side. What is the regulation that is driving these efforts?
CIP requirements
Firms are required to collect four pieces of information on each client: name, dob, ssn, physical address
Jack Johnson was the first African-American man to hold the World Heavyweight Champion boxing title in this year
What is 1908
Through the CLR transformation we want to accomplish these three things: 1) Play, score, win 2) RA2RR, Reduce outdated policies, decrease processing times 3)Simplify, Personalize, Empower
3)Simplify, Personalize, Empower
Through our transformation, we want to:
Simplify: Optimize how you deliver our services in order to make it easier for our clients to do business with us
Personalize: Enable you to customize how you interact with our internal and external clients so we can treat our advisors as individuals
Empower: Arm you with the tools and support you need to create a "delightful" client service experience, and to have a great employee experience as well.
This African–American musical form was born out of the blues, ragtime and marching bands, originated in Louisiana during the turn of the 19th century
CCG is currently engaged in the review of client statements in this assignment
What is Consolidated Reporting/Consolidated Statements
Consolidated Reporting is an effort to ensure advisors who use vendors to create client reporting and statements are doing so accurately.
This man was one of the first African Americans to play professional baseball
Who is Jackie Robinson
The new Modern leadership structure seeks to accomplish these three things, as an acronym they are E.E.I.
What is Enable, Empower, and Inspire
The previous leadership structure was a top down approach designed to "Manage & Control". The new leadership structure is bottom up seeking to "Enable, Empower, and Inspire"
The UK celebrates Black History Month in this month
What is October
CCG analyst recommended the use of an existing online portal to capture client opt in/opt out information on assignment with this business unit.
What is Privacy.
Taylor recommended the Privacy team use an existing online portal to capture opt in/opt out information from clients as their advisors were leaving LPL. This was an innovative idea that resulted in time and money saved for the Privacy team.
The first African American to win an Olympic gold medal
John Baxter Taylor
This is the color hexagon that we are seeking to reduce as part of our cultural transformation. It represents "Rules, Process, Hierarchy"
The Blue hexagon represents the hurdles that we all feel hinder empowerment, and building an efficient and innovative culture.
The year the first African American Senator was elected
What is 1870
These types of alerts are generated in the Mantas system, which Mike Wentzel is currently working on.
What are AML alerts
Firms are required to have a robust AML program designed to mitigate ML concerns. One of the ways LPL monitors for ML concerns is through a transaction monitoring in the Mantas system. Mantas has 15 scenarios that would trigger an alert that an analyst would review.
The most Grammy-nominated artist in the history of the awards with 76 nominations and 26 awards
Who is Quincy Jones
In the legacy leadership structure, LPL Advisors were at the _____ of the pyramid structure.
What is bottom.
The legacy structure was designed to Manage and Control. This structure was very rule and process oriented and therefore put our advisors at the bottom of the pyramid. The new structure has advisors at the top of the upside down pyramid, as our primary focus.
The year Dr. Martin Luther King delivered his famous "I have a dream" speech
____ Patrol is the new platform for monitoring advisor's social media. This platform took the place of Erado, and CCG currently has this Sr. Analyst engaged in interactive content reviews.
What is Social Patrol
Who is Steve Haulk
This African American is the NBA's leading scorer.
Who is Karem Abdul-Jabar
What was Karem's name prior to him changing it?
This is LPL's mission statement.
We take care of our advisors so they can take care of their clients.