Risk
Accuracy
Call Monitoring
Forms
Misc
100

What is needed to run a s/h through security?

SSN/account #

Full Name

Full address

2 secondary security questions answered correctly

100

These type of accounts are not eligible for Saturday Fed Ex Delivery.

What is Non-Retirement?

100

When should you be reading the 120 day script?

What is when the shareholders account is NOT at NAV?

100

What do we require for an Incoming Direct Rollover?

Our Rollover Transfer form (w/ IRA app if needed)

100

If you need to make a DOD Letter, and you're going to email it out, What type of work item should be created?

CORRO request with Email PII as the delivery

200

If a representative from a different department asks you to look up an SSN in our department, Do we need to get the SSN again from the S/H for the security check if they are transferred?

What is Yes?

200

When do we waive a CDSC fee on IRA Redeems?

Due to death/disability, when over 72 Years of age

200

When should you be reading the 60 day script?

What is any distribution on a retirement account

200

What do we required for a Outgoing Direct Rollover?

Signed Letter of Instruction from the shareholder 

Signed Letter of Acceptance from the receiving FI

200

How do you redeem over 100K per fund/trade date?

Via a distribution request form with MSG

300

How do you waive a 30 day hold on an address/bank change?

With an MSG

300

Can you exchange from an IRA to an individual NFID for the same person? If so how?

Yes

By doing an exchange through F3 making sure to go over any applicable scripts

300

Do we actively offer fedex to our callers?

What is We do not?

300

When is an MSG NOT required on a Change of Ownership form?

From JT to individual (due to death)(Under 100k)

UGMA/UTMA to individual (Under 100k)

Individual to trust (w/ same SSN) (Under 100k)

Trust to trust (w/ same SSN)


300

When do you not have to run bridger?

What is when the s/h is the only bank holder 

and when Joint bank owner has an account with us (comments needed on redeem work Item)

400

What needs to be created if the shareholder can't pass security?

What is a Security Fail Work Item?

400

In what situation(s) would the shareholder have to wait the full 10 Calendar Days to receive their distribution?

When the initial purchase amount is over $100,000

400

When should you be reading the RMD Script?

What is Always?
400

When does a bene on an IRA need an MSG?

What is, when its a trust, an estate, and/or over 100K?

400

What information can you provide a Bene with a death certificate on file?

Dollar & percentage of their share of the account 

· Dollar value of full portfolio as-of the DOD

· Confirm all fund-account numbers for which the caller is listed as beneficiary 

· Send account statement to Beneficiary

500

What are the red flags for fraud/ what do you create?

Voice doesn't match

Loud sounds in background(hard to hear)

want funds immediately

Ask questions on how to send to address/bank not on file

We create a Suspicious Activity form

500

How can you opt out of CT state taxes?

By sending in the distribution request form with a CT-W4P (Valid only 1 time unless a sys) (Can't be done on account liquidations)


500

How do you quote market value, If a shareholder calls in and asks what their account value is before 4 PM EST?

As of previous Market close, your (Fund Name/Class) has an account balance of $0.00.

500

How do you transfer the following situation:

JTWROS transferring to surviving tenant only

surviving tenant has a POA not on file

account under 100k

C/o form (signed by POA in capacity)

account applications (Signed by POA in capacity)

POA certification form w/ applicable docs

No MSG

500

When preforming a 3rd party security check what info do you need to obtain and from who?

What is the 3rd parties FULL name and from either the s/h or CSR?
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