Foundational - General

Tools & Resources

100

What tool is used to find out which journey contains a specific situation?

JOBs Tool

200

Client is calling in regarding a complex situation. You've already consulted the standard work and infowave. What is the next resource to follow up with according to the step-up model?

JSS

300

Client wants to know if they will need a notary to add a bank to their profile. Which tool can you use to figure this out?

Add a Bank Tool

400

What chatbot is used to request a Security Code Accommodation? 

JSA Chatbot

500

What chatbot do you use to troubleshoot client and/or crew system issues?

RAPTOR

Banking

100

Client has the option to verify the bank through either instant bank authentication, or this other process.

Micro Deposit Process

200

Ryan Carter has an individual Vanguard account. His wife, Mary Carter, wants him to add her bank (that she owns) to his Vanguard account. Can this be done online?

No

300

Which bank cannot be added through the Instant Bank Authentication Workflow?

(JP Morgan) Chase Bank

400

Michael Jordan and Maria Jordan have a joint account at Vanguard and they want to add a bank account. Michael Jordan co-owns the bank account with his brother, Chris Smith. Does this form require a notary?

No, because Michael Jordan is listed on the bank account.

500

John Smith and Amy Smith added the same BofA bank to both of their profiles. On their BofA transaction history, they have four micro-deposits: $0.41, $0.52, $0.13, $0.45. They also have two transactions leaving BofA for $0.54 and $0.97.

Which two microdeposit combinations can John Smith try in order to verify the bank?

$0.13 + $0.41 = $0.54

$0.52 + $0.45 = $0.97

Call Handling Procedures

100

Read off the dead air script.

"I cannot hear you. If you can hear me, please give us a callback at 877-662-7447

200

Client doesn't answer a system initiated callback. State the voicemail that you leave the client.

All voicemail messages left for clients must inform the client of / follow the below four points:

1. Your name (give your first and last name) and either your direct-dial number (if appropriate) or the appropriate Vanguard callback number taken from the JOB Tool or Commonly Requested Telephone Numbers.
   
   
2.  You are a representative of Vanguard.
   
   
3. A request to call Vanguard back (if applicable).
   
   
4. No account-specific or client-specific details can be disclosed in this voicemail. Specifically, never mention "account" on voicemail, but phone associates can say "file" instead.

https://infowave.retp.c1.vanguard.com/content/int_retail/infowave/assochbk/security/acctcallsecurityoutcall.html#leaving

300

According to infowave, how often should you check back in with a client when you put them on hold?

Do not leave the client on hold without checking back with them unless the client states otherwise (checking back within about 7 minutes is a best practice). If the inquiry will take a long time to complete indicate the time frame in which you will be returning to the line, and be sure to follow through in a timely manner.

https://infowave.retp.c1.vanguard.com/content/int_retail/infowave/assochbk/contactvg/telephncallhandlhold.html

400

Investments has a 5 minute hold time but the client is elevated. You verified with the JOBs tool that INV_Stock_ETF_InvestEducation is the correct queue. Is it considerate to transfer the client to this queue?

No. If the client is elevated, conference over to the appropriate journey to explain the situation to the representative.

500

What are the three requirements for cold transferring to Participant Services?

1. Inform the client they will be transferred.

2. Provide the direct dial number and hours for Participant Services (800-523-1188 Monday through Friday, 8:30 a.m. to 9 p.m., Eastern time)

3. Inform the client they will have to go through call security when they are connected with a representative.

Abbreviations

100

TOD

Transfer on Death

200

VBA

Vanguard Brokerage Account

300

RMD

Required Minimum Distribution

400

FCR

First Call Resolution

500

QCI

Quality Client Interaction

Call Transfers

100

A self-managed client wants to buy a Vanguard Mutual Fund in a non-retirement account. Which queue should you transfer to?

INV_VGMutualFund_Internal

200

Zark Muckerberg owns a very successful company and wants to open a Vanguard account under the company's name. Which queue will contain this call?

ONB_ADVANCED_INTERNAL

300

Your very own, Cristom Payagen, calls in and wants to buy a stock in his retirement account. His computer is broken, he doesn't own a device that has internet, and communicates with his family members through messenger pigeons so they can't help him. He wants to buy 10 shares of Apple Stock over the phone and is okay with the BAC. Which queue will contain this call?

INV_SpecializedTrading_AcctSvcs_Internal

400

Ryan Smith has an individual account at Vanguard and wants to transfer the assets to Mary Smith's individual Vanguard account. Which queue will contain this phone call?

COO_BASIC_INTERNAL

500

Mrs. Smith calls in and says she got an advertisement for Vanguard's Digital Advisor. Which queue will you bring her to?

RSG_Clients