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You Should Know These
Contract, Forms and Checklists
The Industry/More OPCM Stuff
Trading & Moxy & Performance
Potpourri
100
This is the only social media site that you can list OPCM as your employer.
What is LinkedIn.
100
2 weeks is the time frame for this checklist to be completed.
What is the closing checklist - to be completed by the CSS.
100
513 and 1265 as of 8/31/15
What is the # of relationships and # of accounts managed by OPCM.
100
This person is tasked via Salesforce all restriction requests (high five if you also know who the primary and secondary backups are).
Who is Tracy (primary backup is Alicia, secondary is Sonia).
100
$500 penalty donated to a charitable organization.
What is the personal trading penalty per trade per account.
200
This document is evaluated with the client at least every 3 years.
What is the IPG
200
This form must be filled out if a check or security is received in the office.
What is the Received Checks and Securities log
200
A Series 65 is the minimum license needed for these 2 positions at OPCM.
What is Sales Person and Portfolio Counselor.
200
The Broker-Dealer we use for BAA accounts.
Who is BNY Convergex.
200
This is the first task upon receiving a closing notification from a client or custodian.
What is tasking Tracy a freeze trading or closing restriction.
300
The PC quarter-end blackout dates and the rest of Operations quarter-end blackout dates.
What is the last 3 weeks of the month following quarter-end (PC), and the first 3 weeks of the month following quarter-end (other Ops).
300
The 3 available Amendment to Contract forms.
What are: 1. to add new account 2. to add new Trustee 3. to amend the fee schedule.
300
The IRS penalty for not taking the RMD on time.
What is 50% of the RMD. Example - RMD = $4k, you don't withdraw in time, you owe $2k.
300
These do not automatically get transferred when creating a new portfolio code in Moxy.
What are restrictions.
300
Sacramento Street, between Kearny and Spring Street.
What is SF office evacuation meeting location (evacuation meeting locations are in the Disaster Recovery Manual).
400
It is a required document needed to begin trading, and reviewed with a client every 3 years. Also give the location of the templates.
What is the IPG, and O:\Training Manual and Procedures\IPG Templates
400
Expense forms must be signed by ______, accompanied by _________, and submitted to Sonia within _________ to be reimbursed.
What is 1. your supervisor 2. original receipts 3. 30 days.
400
Name at least 1 of the 19 SEC Exam Priorities for 2015.
What are: Fee Selection/Reverse Churning, Sales Practices, Suitability, Branch Offices, Alternatives, Fixed Income MF, Large Firm Monitoring, Clearing Agencies, Cybersecurity, Potential Equity Order Routing Conflicts, Recidivist Reps, Microcap Fraud, Excessive Trading, AML, Muni Advisors, Proxy Services, Never-Before-Examined Firms, Fees/Expenses in PEs, Transfer Agents.
400
On a performance report, the meaning of "NA", "?", "-".
What is Son needs to fix something (NA), we don't have data on that time period (?), the client never held that asset class (-).
400
You should be sending 3 referral names to clients if they ask. And also do not mention as "personal referral" or "recommendation". This is a database and the contacts are not vouched or verified through due diligence. This is the file path location to the database:
What is O:\Resources for clients\Pro Referrals 3.10.15.xlsx
500
A few items that need verbal client confirmation.
What is 3rd party wire request and change of email or mailing address.
500
The number of fee billing groups listed on the Fee Bill Groups handout.
What is 19 O:\Training Manual and Procedures\APX and Account Maintenance\APX Billing
500
Fidelity is the only custodian that does not accept this.
What is a fax.
500
The month-end date after the first trade in an account. Also, where in APX you find this data.
What are the net/gross performance start dates. In APX: go to the portfolio, click on "performance" tab.
500
This is the number of custodians we work with. Bonus if you can list them all!
What is 15 (WF, Vanguard, USB, UBS, TDA, Stifel, NT, MSSB, FRB, First Hawaiian, Fidi, Citi National, CS, BNY, BoA)