TECHNOLOGY
Baylor loves his clients so much that he provides them with access to his personal number. Corient doesn't like this. The platform used to text and call clients from
What is RingCentral
Merek has a client who lets the tax tail wag the dog. What planning software might you consider using?
What is Holistiplan
Skyler and Leith recently had a mound of sensitive client information laying around on their desk. What is the name of the policy this violates?
What is Clean Desk Policy
The group that approves non-standard fee schedules
What is the pricing committee
Datt May manages a person that is interested in sales training. What is name of resource to provide educational materials and videos?
CORIENT Learn
The new Corient service desk software
What is Halo
Garmen has client that wants to know if he/she can retire at age 55. This software helps you run different scenarios
eMoney
Katt Mane would like to do a favor for a client and open an account for his client's adult son. Before we can open the account, this Corient document is required.
What is a wealth management agreement (WMA)
System of record for tracking leads and opportunities
What is Salesforce
Ryan has client that received an unexpected inheritance. Ryan wants on the new, Corient models - where I do find most updated information and model portfolios.
WealthNet (check everyday!)
Software for securely sharing software
What is ShareFile
Moe is meeting a client that he has had for 7 years. The client mentions that they remembered an old 401(k) from a previous job. They ask what to do with it? Moe says to do a rollover to IRA. This software makes sure that advisor is in compliance
What is InvestorCOM
The new ACA compliance software
What is Star Compliance
Name three of the required fields when completing the "New" Stage of an Opportunity
What is Lead & Referral Source, Referrer, Next Step, Next Step Due Date, AUM, Annual Fees
Tate has a client with a employer sponsored 401K that he would like Corient to manage. This is the program that would allow us to do this
What is Pontera
The number of characters needed for your Corient login
What is a minimum of 15 characters
This program reads estate documents and displays flow charts
What is Vanilla
The new DOL software
What is InvestorCOM
The dollar threshold for client verbal attestation on first party wires with standing instructions
What is $10,000
Minimum fee for a Corient tax client
What is $2,500
The Chief Information Security Officer
Base inflation rate in eMoney not retiring in the next 10 years
What is 2.6%
Our neighbors down the lot in their fancy RV came in asking for us to manage their 401K and retirement accounts. How many DOL Forms through InvestorCom would we need to prep?
What is two
Name three of the processes that fall under the "Compliance Exception Request"
What is Billing Group Compliance Exception Request, Fee Credit or Rebate Exception Request, Trade Error Reporting, Custody Exception Request, Adhoc Valuation Request, Client Directed Brokerage Exception Request
Name of the CIO of Corient
Who is Matt Krauss