Service Requests New Proposal CSA Service Requests AA

Service Requests New Proposal CSA Service Requests AA Service Requests Description: This workflow describes all the steps required for a Associate Advisor (AA) to initiate and manage a client a service request. As opposed to the Client Service Associate (CSA), the AA typically manages the following Service Request processes: Strategy Management (Portfolio Level), Fee Management, Trade Requests, and Tax Management. Breakout of service request responsibilities between the AA and CSA is based primarily on roles and backgrounds. Process Checklist PREPARE ROLE STEP Associate Advisor Retrieve &/or Populate Necessary Forms DETAILS/TIPS • • Document details of the request in CRM Navigate to all relevant systems to retrieve and populate necessary forms • This could be both a paper or online form, depending on the transaction Process Checklist CONDUCT ROLE STEP DETAILS/TIPS Associate Advisor Process Request & Notify Stakeholders • • • Submit all necessary forms in order to process the request Notify the appropriate representatives within the firm Inform the client that the request is being processed • This is to ensure the client is aware of that the activity has been initiated Advisor Review & Approve Request (if applicable) • Navigate to all relevant systems to review the request & approve as appropriate • Typically these are requests that compliance require Advisors sign-off on Process Checklist FOLLOW-UP ROLE STEP Associate Advisor Ensure Execution of Request & Notify Client DETAILS/TIPS • • • Check all relevant systems for confirmations or pending alerts • If there is an issue with the request: • Take the appropriate steps to resolve that issue, which might require some coordination with team members and third-parties Provide status updates to team & client as appropriate Notify client once request is executed © 2015 SEI. This information is proprietary. No further distribution is intended.