Genesys/Crave
What status should you be in prior to 8:30am (before your start time)?
Away - Case Work (Personal)
What amount in VQA must the client have to be exempt from the ASF?
> $5 million
What should you do every morning to make sure Dynamics is loaded properly?
Right click on the dynamics screen, click on "reload"
Will you need to outcall the bank if the client is trying to redeem funds (that have been transferred in within 60 days) to a different bank on file that is different from where the funds originated from?
Yes!
What are noncovered shares?
Shares that we are not required to provide cost basis information for to the IRS.
Where do you go on Crave to find the correct phone number when out calling a bank for a redemption destination request?
Profile and account settings -> Banking -> Bank search
When is the deadline for clients to take action to avoid all ASFs?
September 1st
Where do you go on Dynamics to create a new case?
three dots next to "Open Cases"
How do you stop and replace a check by FedEx?
outgoing check -> click "stop/replace" -> choose "special delivery"
Explain the difference between taxable and non-taxable accounts?
For non-taxable accounts, we do not keep track of cost basis, and transactions are not taxable to the client unless they are taking an actual distribution from the account
Where do you go on Crave to find the date that an account was opened?
Profile and account settings -> Accounts & trading -> Trading profile
When is the automatic reimbursement take place?
September 1 - November 1
Name a task that you could use Dynamics for?
Best answer wins!
When can CMS assist with mobile check deposit errors?
CMS can only assist with client errors made on a mobile check if the purchase is still pending same day. If the transaction has posted, no correction can be completed as this is considered a client error.
What is the proper organization security?
Caller's name, Company name, company address, last 4 of the TIN, and account number
Where do you go on Crave to find the amount of VQA that a client has?
Key Data -> View client financial benefits
What is the deadline to act for fee reimbursement?
November 1st
For an ACH reject, where you go to confirm the reject code?
BPM Case -> Document Review -> click on the document and find the reject code
When will dividend/capital gains settings be able to be adjusted?
1 day after settlement of a recent transaction
Client wants to transfer 100 shares of VFIAX from his individual account into his son's, who would contain this call?
COO
Where do you go on Crave to verbally authorize an existing bank account?
Profile and account settings -> Security -> Bank account authorizations
Why should clients upgrade their accounts?
Best answer wins
When creating a new case for a trust transition request, what is the???
Process Type:
Category:
Subcategory:
Task Category:
Process Type: Personal Investor Client Request
Category: Case Management
Subcategory: VBA Transition
Task Category: Fund Account
What security precautions are necessary for special payee checks?
VV or OTP
If your helping an associated person do a VBA upgrade, what should you check first?
Blanket approval letter database - to see if we already have approval from firm