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Getting Started: Part One

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New User Training

Getting Started

www.iress.com


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Contents

Introduction……………………………………………………………………………………………………………………………..3

1.0 Opening and closing Adviser Office………………………………………………………………………………………4

1.1 Customising your task bar…………………………………………………………………………………………………...5

2.0 Client records in Adviser Office…………………………………………………………………………………………….6

2.1 Navigation of Client Management……………………………………………………………………………………….7

2.2 Adding Clients and Prospects…………………………………………………………………………………………….…8

2.3 Adding a new Proposal………………………………………………………………………………………………….......9

2.4 Adding Existing Plans……………………………………………………………………………………………..………….10

2.5 Adding Client Notes……………………………………………………………………………………………………..…….11

3.0 Glossary of Adviser Office Modules……………………………………………………………………………....12-15


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Opening and Closing Adviser Office

To access Adviser officer you need to log into the Adviser Office Taskbar. At the end of each day you need

to log out of the taskbar.

1. Double click on the Adviser Office icon on your desktop.

2. If you have more than one database you will need to select the relevant

database

3. Enter your username and password (this is available from your system supervisor. Click Ok.

4. The Adviser Office icon will appear in the bottom right

hand corner of the screen. You are now logged in to

Adviser Office.

5. Click on the Taskbar and a menu will appear. To access a module click on the menu.

6. Ensure that you log out of Adviser Office at the end of each day. Close all modules and click Exit

Taskbar on the Taskbar.


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Customising your Taskbar

Your Taskbar is a shortcut to the Adviser Office modules that are used most frequently.

Click on the icon to launch the taskbar. Select Customise Taskbar. Tick the modules you need access to.

Modules you need access to regularly will appear under Run Programs.

Maintain Adviser Office: Maintenance options for Adviser Office including Database Administration.

Link to Other Software Programs: Quick access to other programs

Troubleshooting: Links to the help pages

Personal Task List: Your most commonly used modules.


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Opening an Existing Client Record

You will need to search for an existing client and their data on the system. This search is carried out in Client Management.

From your Taskbar select Client Management.

Select Open Client.

To search for a client by their name, type their surname in the Name field.

Find the relevant client then click OK.

You can also search by Postcode, Policy Number, Proposal Reference, Nominee Registration, NI

Number, Date of Birth and Invoice Number.


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Navigation of Client Management

To access information in Client Management there are four bars found on the left hand side of your screen.

1. Contains factfind information

2. This gives you access to a client’s plans, assets and investments.

3. Lists Activity Entries, telephone calls, appointments and general correspondence.

4. This includes the two way integration with the Exchange

Summary Options

This is an important section of Client Management. This is where you would find a list of plans, investments and assets held by the client.

1. On the left hand menu click on Plan Summary.

2. A list of plans held by the client will be displayed. To view the details of a plan double click on a plan.

3. Click on Portfolio Summary. This section lists all investments, plans and assets held by the client. You can open an entry by double clicking on it. This will open a separate window.

4. Filtering on Portfolio or Plan Summary: You can filter the owner of the various holdings. You can do this by right clicking on the words Portfolio Summary or Plan Summary. You can also filter by Plans, Assets and Investments.


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Adding Clients and Prospects

1. Click on the New Client Icon and the New Prospect Wizard will launch.

2. Navigate through the Wizard by clicking Next. (You will be prompted to confirm if the client has any

objection to their information being stored)

3. Basic Prospect Details select the appropriate Prospect Type and

Status. You can also pre-populate the basic details to a partner’s

record. (Select Yes in the box on the right hand side) Then once you

have completed all the relevant details click Next.

4. If you wish to copy the basic details to a partner record select Yes in the bottom right of the box. Once

completed click Next.

5. Do you want to check the HM Treasury Sanctions list? When answered Yes and Next clicked will

launch the HM Treasury website.

6. If you opted to have the Partner’s details pre-populated in the Partner box. It will appear here. You

can then continue to add further detail.


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Adding a New Proposal

New plans are added via the Client Management module. This can be done via the New Business Wizard.

1. Click on the New Business Wizard icon.

2. Select Current Client, New Plan.

3. Click OK. The New Business Wizard screen will launch.

4. Select the Client Remuneration button (this is where you will check default set up is correct).


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5. The Extended Personal Details button is where you can add any extra detail you may have on the

application form which is not already entered onto the system. Adding it here will ensure that it is saved to the Client’s factfind.

6. Click on New Plan Details. The Product Details screen will open. ( Here you can add the proposal details.

7. Click on the key next to Scheme and select the Product Type that you

Require. The Plan Selection box will appear. Click on the drop down

Menu next to Product Type and select the generic plan type from the

list. Click OK.

8. Select the correct plan owner type. Client, Partner or Joint.

9. Proposed date is the date that the client signed the proposal. The On Risk tick box can be ticked

if the plan has commenced. Usually at this stage the plan is not on risk and can be ticked at a later

stage once the plan is on risk.(The commencement date is required by Adviser Office as this is

used to calculate expected fees or Adviser Charges. If this date is not known add the Proposal

date. This can be changed at a later date. Enter any further information and click OK.

10. Premium and Frequency: information on the premium and also the frequency of payment can be

added here> (Frequency can be monthly, single, annual, half yearly or quarterly)

11. Enter any further information and click OK

12. A box will appear with a proposal reference number. This can then be added into the Plan

Review. Click OK.

Please note Remuneration will be covered in a separate training guide (Fees & Invoicing).


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Updating New Proposals

The New Business Wizard will help you to input the basic proposal or application details and expected

commission, but your records will need to be updated as the application proceeds.

1. Access either Plan Summary or Portfolio Summary in Client Management.

Double click on the plan you wish to update.

2. Click on Basic Details. This screen contains dates associated

With the plan (Maturity date and commencement date)

Once you know the commencement date enter it on to the

system and tick the On Risk box.

3. The Premium History icon is used to record changes in the

Premium amount. (There is a workbook which guides you through

this section)

4. The Remuneration History screens are used to update

remuneration expected or received on the plan. No action is

required if the plan was added via the New Business Wizard.

5. Click on Investment History. This screen contains details of the

funds that the premiums are invested in and the current value of the plan. (Please refer to the Investment History Workbook to

guide you through this area)


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Adding Existing Plans

Existing plans and investments can be added either using the Client Management module or the Personal Factfind module.

The minimum information that you will require to add the details of an existing plan is the type of plan and the provider (manager). Once an existing plan is added to the system you can update the details as and when you obtain further information by double clicking on the entry to open the plan details.

1. In Client Management click on Summary Options.

Double click on New Plan. Select the appropriate product type for the plan from the drop down menu. Double click on the

required plan.

2. Basic Details will need to be completed in this screen

you can add Proposal Date, Commencement Date and dates relevant to the plan.

3. Premium History: This screen is used to update premium information

4. Remuneration History: Information in relation to Remuneration received can be recorded here.

5. Investment History: Fun information is added here.


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Adding Client Notes

There are ways of recording information against a client’s record. This can be done in the form of a note.

1. Click on the Notes icon. When the note icon is blank it means that there are no notes on the client’s record. The right hand icon illustrates when there are notes applied to the client’s record.

2. There are different kinds of notes that can be applied to a client’s record.

Basic Information: recording relevant information against a client record. This is also a

searchable field in Query Builder.

Report Notes: This is a searchable field in Query Builder.

Internal Comments: This is for recording notes that are strictly for internal user. These can

also be searched for in Query Builder.

Critical Notes: A flag will appear on the client’s record when a note is added here. And a

red exclamation mark will appear on the notes icon.

Warning Notes: An automatic warning is generated when a user opens an entry in Client

Management. The user must acknowledge the warning before proceeding to use the client

record.


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Glossary of Adviser Office Modules

Module Use Notes

Activity

Manager Reminder system which allows you to track your work through to completion.

Telephone conversations and notes of appointments can also be recorded against

the client record.

Bulk Services Bulk updating of the database to save you time and effort. (E.g. charging fees in

bulk).

Business

Management

Reconciling fees and commission entries once they have been received. Data

entered in this module is used to produce your management reports.

Client

Management

Main module within Adviser Office and holds all personal and factfind details and

any associated Policy and Investment records.

Employer

Services

Manage corporate schemes and employee benefits and also includes SSAS

information and portfolios.

Personal

Factfind Record factfind information if you use the Adviser Office factfind and can also be

used to print a populated factfind.

Financial

Scenario

Analysis

Create ‘what if’ scenarios and also use the data to create suitability letters and

reports.

Mortgage

Manager

Track mortgage enquiries and applications through to completion. Download

information entered in this module to Mortgage Brain, Trigold and others.


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Outside

Services

Set up fund and price feeds (e.g. through Financial Express) and also set up

fund downloads from Cofunds and others.

Query Builder

Enables you to run extensive client searches based on selected criteria. Query

Builder can also be used to build compliance reports, create client groups and

run a mailmerge.

Report Server

Provides numerous reports to assist with both Client Reporting and internal

Management Information. Blank and pre-populated factfinds can also be

printed here.

Write a Letter This is a shortcut to your list of standard documents.

Open a Client Calls up a list of existing clients.

Log a Call

Make a record of telephone conversations with clients and providers etc.

Send Outlook

Email/ Generic

Email

Send an Outlook email to clients or their contacts where the email address is

recorded on Adviser Office. The email will be recorded against the client

record. The Generic Email option is for use where Outlook is not used as the

email software.

Record a Time

Charge

Timing clock for time-based fees.

Weekly Time

Sheet

Record fees on a time basis and monitor these within Adviser Office. They

can also be used to calculate client profitability.

My Activity

List

This option will call up your activity list for the day.


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Letter Writer

Letter templates can be created through this module and used in conjunction

with Word, allowing the merged results to be stored within the Client Activity

records in Adviser Office.

SIPP Manager As its name suggests this module is used to record Self Invested Personal

Pensions and the associated portfolios.

Client Transfer This module allows client records to be downloaded to a laptop or remote

PC. Changes can also be uploaded to the main database.


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iress.com

Innovative technology for financial markets,

wealth management and the mortgage industry.

IRESS FS Limited,

1 Kingmaker Court,

Gallows Hill,

T +44 (0)845 068 1000

F +44 (0)845 068 2000

[email protected]

Offices in:

Australia, Canada, Hong

Kong, New Zealand,

new user training - iress€¦ · adding clients and prospects 1. click on the new client icon and...

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