marketing communications training bkguide
TRANSCRIPT
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Marketing CoordinatorBack-up Training Packet
2008
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Position overview
Orientation - Your responsibilities
Required software and setup
Needs analysis
Software training
Job training
Development
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Your responsibilities
Assist with forms release
Submissions to ELROY and Compass ContentRequest Databases
Brokerage sales literature orders
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Required Software and Setup
Lotus Notes Database needed include: CompassContent Request, ELROY, CorporateCommunications, LN Brokerage Order
Microsoft Suite
Adobe ProfessionalAdvisorCompass
eForms Manager
eCatalog
Data14$ on 'Wmpif515' Cssvol1 on 'Ids_001\Vol1'
Data10$ on Wmpif517
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Software Training List
Lotus Notes Upon first opening use training provided,Databases sent in one email
ELROY Cindy J. Webster
AdvisorCompass Browse portals listed below and allowtime to review.
eForms Manager-https://Compass.ampadvisor.aexp.com/portal/site/pilot/menuitem.c15452e2149e88f114e8289559013859/?launchId=hn
eCataloghttp://ecatalog.ampf.com/eCatalog/AMPF/Help/AmexGettingStarted/GetStartedMain.htm
http://ecatalog.ampf.com/eCatalog/OrderHelp.aspx
Microsoft Access David Hatch
Data14$ on 'Wmpif515' - David Hatch
Cssvol1 on 'Ids_001\Vol1 - David Hatch
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Introduction to forms
2008
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Forms process training schedule
Product and services
Field structure
Forms process
Forms structure
Where are forms housed
Meet the key players AOS formally CFM
Review: product managers, legal, compliance,risk, etc.
Review: acronyms, trademarks, branding
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Products and services
Brokerage: Ameriprise ONE Financial Account
Self Managed Brokerage Account (SMBA)
Non - proprietary mutual funds
Stocks, bonds, and options
Non - proprietary insurance B List annuities
Managed Products:
SMA
Active Portfolios
SPSAdvantage
External Products:
Alternative investments: REITs, TICs, Fund of Hedge Funds, 1031exchanges
Education savings plans: 529 Plans, Coverdells
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Brokerage
Ameripr ise ONE Financial Account - TheONE Financial Account bring the clients assettogether to provide a better understanding of aclients current financial situation. This can make
it easier for the client and financial advisor todevelop tailored solutions for the clients financialgoals.
Self Managed Brokerage Account (SMBA)Tom Westlund manages we help as needed
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Brokerage
Application
Qualified: QualifiedPlans/TSCA
402009
Client Agreement
Qualified: 7722
Application
Non-qualified: (Includes ONEFinancial Accounts)
8190 Advisor- OffersONE Features
7109 Client
200744 FSC
413029 Direct/ESO
Client Agreement
Non-qualified: 8020
Application
IRA:8323
200745 FSC
7723 Direct/ESO
Client Agreement
Qualified: 7722
Additional FormsDont change much
Account Features:
15028 to add ONE Features to Brokerage or SPSA
Direct Deposit:
8321
Commission Schedule: Brokerage Only
200030
Brokerage Fees:
200063
Margin Agreement:
200252
Self Managed Brokerage Account (SMBA) (# 29)
Tom Westlund manages we help as needed
Discretionary Trading:
402041, 402042
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Managed products overview Premier PortfolioServices
AmeripriseStrategic Portfolio Service (SPS)Advantage A service that provides theconvenience of bringing your investments togetherwithin one portfolio allocated according to yourinvestment needs.
Act ive Port fo l ios An integrated solutiondesigned to produce sustainable, inflation-adjustedincome over a fixed period of time, or consistent, risk-adjusted returns through a disciplined, quantitativeprocess.
Separately Managed Accounts (SMA) Apersonalized portfolio of individual securities thatallows for greater control and transparency of holdingsthrough direct ownership.
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Managed products Premier Portfolio Services
Applications
Non-qualified: (Includes ONE Financial Accounts)
413017
IRA:
413018
TSCA/Qualified Plans:
413058
Client Agreement
Used for Non-qualified and Qualified (all products)
413020
Temporary: 402032 FSC Pilot- only separate on pilot
Client Disclosure Brochure (ADV)
(used for Non-qualified and Qualified) Updated annually &supplement there after.
413021
Umbrella overActive Portfolios , SMAs and SPSAdvantage only
Additional Forms Only Advisors see them or Advisorfacing
Universal Change request:
413022Active Portfolios /SMAs
Premier Quick Reference Guide: 413038
Wrap Fee Calculation Worksheet: SPSAdvantage only
430008
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External products group - EPG
Alternative investments:
Real Estate Investment Trusts (REITs)Is an invest in commercial properties, such as hotels, shoppingmalls, apartment buildings and office space. By law, they have to pass on nearly all their income, afterexpenses, to investors.
Tenant - In - Common (TICs) - An investment whereby multiple individuals can hold title to real property. Ifcertain requirements are satisfied, it may allow real property investors to defer capital gains via a 1031exchange. Owner/owners are allowed to own an undivided fractional interest in the entire property, whilealleviating the responsibilities of active property management. Under this co-ownership structure, the clientwill own an undivided fractional interest in an entire property and share in their portion of the net income, taxshelters, and growth. Further, they will receive a separate deed and title insurance for their percentage
interest in the property and generally have the same rights as a single owner.
Fund of Hedge Funds (FoHF) - a fund of hedge funds is a diversified portfolio of generally uncorrelatedhedge funds. These funds maybe widely diversified, sector-based or geographically focused. In general,funds of hedge funds seek to deliver more consistent returns than stock portfolios, mutual funds or individualhedge funds, while providing access to a broad range of investment styles, strategies and hedge fundmanagers.
Education savings plans: 529 College Savings Plan -A 529 Plan targets college tuition and expenses. It stays under
your control, plus it offers certain tax and contribution advantages. Coverdell Education Savings Account -Also offers tax benefits. It has a maximum
contribution limit of $2,000 per year.
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External products group - EPGDont change as often / No qualified and non- qualified
Real Estate Investment Trusts (REITs) -
200728Product Owner - Heide X Ahmann
Tenant In - Common (TICs)
401058, 401056, 231717
Product Owner Dena Froiland
Fund of Hedge Funds (FoHF) - moving to EPGin August 2007
413019 - changing to 291039 in August 07
402067
402067-Inst.
Product Owner - Jennifer Simon
529 Plans (13 current hypothetical's)
200880, 200881, 200882, 200883, 200884,200885, 200886, 200887, 200888, 200889,200891, 200892, 200893, 200953, 401058,402012, 402015, 402016
Product Owner - Dan Knutson
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Structure
Brokerage / ONEONE and SMBA
No Advisor needed
Managed products /Premier Portfolio
ServicesSPS Advantage, SMA,
Act ive Port fo l ios
External ProductsGroup (EPG)
529 Plans, Coverdell, REITs, TICs,Fund of Hedge Funds (FoHF)
Financial ServicesCenter (FSC)
Clients without a P1 or P2 advisor usethese P4 Advisors
Clientameriprise.com
AdvisoreForms Manager, eCatalog,
Printed, ameriprise.com
Direct / ESODirect and
Employee Stock Options
Several version of the same form are available to fit the end user: Advisor facing, Client facing, etc. For most of the 3 product groups listed below there are 4 of each form.
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Forms Process
Coordinate intake process with product and stakeholders Communicate with AOS what intake or changes need to be made to
what forms for the upcoming release
Review stakeholders list with AOS and product owners for all formsincluded in the intake
Meet and discuss with product and other stakeholders to determine thescope of the intake proposed.
Ask for mockup information from product and stakeholders
Combine all mockup information and submit to AOS by requesteddeadline
Review revisions sent from AOS and send out revisions for furtherreview by stakeholders
Communicate with AOS any additional changes to the form perrevisions
Finalize and obtain sign-off on the new revised form by AOSs releasedeadline
Review business rules and communicate any changes to AOS
Complete forms testing per AOSs direction and provide final sign-off
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Where are forms housed
Interactive:
Simplified Account Opening (eForms Manager) - updated by AOS is a electronic new business tool available toAmeriprise advisors. It allows advisors access to all new business applications as well as service related forms.eForms Manager is used to simplify the process of obtaining and completing client forms, meet compliancerequirements, reduce training time for new advisors and staff, and reduce the number of forms returned from thehome office.
eCatalog -updated by Cenveo is an index of all applications (both new business and service related), sales literature,brochures, etc. Use eCatalog to download or order forms and sales literature from supply. Search by entering itemnumber or title in the search bar above, or by browsing through categories below. Order Premier printed copies,
print directly from eCatalog. For questions about the use of eCatalog, call supply at 612-460-2336 [email protected]. For technical problems contact the Technology Help Desk
**Advisors have access to both eForms Manager and eCatalog via Adv isorCompass
DocSource
amerprise.com
PDF only:
FSC
Direct/ESO
Cenveo - Printer service for Premier Portfolio Services only
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eForms Manager checklists- (CL = checklist)seldom require change
Brokerage: Qualified and Non - qualified
Ameriprise ONE Financial Account
External products group EPG:Fund of Hedge Funds
REITs
Managed products / Premier Portfolio Services:Qualified and Non - qualified
SPSAdvantage
SMA
Active Portfolio
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Premier forms printing Advisors may orderpaper copies via eCatalog
Due to the number of pages in the Premier Portfolio Services
application, Client Agreement andDisclosure Brochure (ADV), a decision was made to make available to advisors, a print supply ofthe most frequently used forms.
Advisors can order a supply of printed forms, free of charge, by accessing eCatalog and placingan order. Turn around time is typically 24 hours.
AOS does not manage the printing of forms but they will send a PDF to our print vendor:Cenveo.
Production OperationsFor additional Info. on this group review Production Operations Overview powerpoint presentation Kevin Bendixons Director, do not contact unless escalation is necessary. His team will coordinate printing of forms including the
quantities needed.
Kevin's Team includes:
Melissa Dols and Backup: David Hatch If we have a update to a form and
need a supply update contact Melissa.
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Advisor Online Services (AOS) formally Centralizedforms management (CFM)
The team that owns eForms Manager, eCatalog, andAmeriprise.com content publishing is the Advisor OnlineServices (AOS) team located in the Customer Service Center(CSC).
All Ameriprise forms, applications, etc. across the organization;Brokerage, Premier Portfolio Services, EPG, Annuities,Insurance, etc. are managed by this team.
Contacts:
Anjali P SrivastavaManager, Service Delivery AdvisorOnline Services ext.15545
Corryn K Wilson - Design Analyst, Advisor Online Servicingext.19325
John X Sopkowiak Graphics Coordinator, Advisor OnlineServicing ext.83043
Archana U Bhandary - Intake Coordinator, Advisor OnlineServicing ext.86393
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Happy Forms Management!
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Submissions to ELROY and Compass content request
2007
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Submissions to ELROY and Compass
Submissions to ELROY and Compass content request maycome from several different sources.
Forms do not need be submitted thru ELROY.
Any change to the content of theAdvisorCompasspages forBrokerage Debit Communications' will need to be submittedthru ELROY.
You may receive a request from a co - worker that does ordoes not have access to the ELROY or the Compass contentrequest databases. Feel free to request additional informationfrom these individuals to complete their request. Note: Pleasemakes sure to in the comments area or in the content ownerfields if applicable, indicate who you are submitting the requestfor. This will insure that the proper individual is contacted if
inquires arise about the submission. You may be asked to provide submitted information if the
content owner or individual leaves the company so back upyour ELROY and Compass content request submissions bysaving the files to your hard drive
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Brokerage Sales Literature Orders (AEBS Service Request)
2008
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AEBS service request- refer to cheat sheet
Requests that appear on the AEBS Service Request database - both thePending requests and the Resent requests are processed daily.
Orders are run through the macro on the BOS Access database.
Open the database and click on the icon just to the left of the spade icon. It looks like anopen book and if you place the cursor over it, it will read Run macro macNotesDataLoad.
This will take a few minutes to run.
A new screen will pop up displaying all of the orders- this is the form on whichyou will make any necessary edits. Review each order to make sure that it is
correct. The first and last name each should be in a separate field. The address, city, state, and zip, will all need to be in their designated fields. Checkboxes: Do Not Complete and Exclude.
Check the Do Not Complete checkbox to not complete the order in the AEBS ServiceRequests database within Lotus Notes. You would use this if there were manual itemsthat needed to be fulfilled (the Brokerage Guide), if the order needs to be rejected, or ifyou want to look at the actual order within Lotus Notes.
Check the Exclude checkbox to not include that specific line in the order to be sent toCenveo. For example, if someone ordered a brokerage kit and a brokerage application,the application is not necessary. Check Exclude on the brokerage application line andthis item will not be ordered.
You should never exclude the first line of an order while keeping other lines of thesame order. This is because the address and name are included only on the firstline. Change the item number in the first line and exclude a latter line.
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AEBS Service Request
Look at the item/s chosen. There are a number of edits that may be necessary in this area: Note: if there are multiple items, only the first line will contain the client information and the
partner/source code information. The information on that line will apply to each additional linefor that order.
Make sure that the Partner and Charge Unit fields are populated and are correct. If the item chosen is a certificate or a prospectus under the AXF partner code, make sure that
the correct envelope is also included with the order (1222 or 100025). If not, you will need tomanually add this item.see Cheat Sheets for more detail.
Click on the Add Item button. When you do this, the form will go all the way back tothe top. So you will have to scroll back down to find the order you are working on.
Add the correct envelope (1222 or 100025) on the new line.
If the item chosen is a prospectus under the DIG partner code, make sure that a BRE(400012) is NOT included. If it is, check the Exclude checkbox on that line. Also, make surethat a cover letter (FOCL) is included. If not, you will need to manually add this item to theorder.see Cheat Sheets for more detail
Click on the Add Item button. When you do this, the form will go all the way back tothe top. So you will have to scroll back down to find the order you are working on.
Add the FOCL on the new line. If the item chosen is a form, make sure that a cover letter (FOCL) and a BRE (400012) are
also included. If not, you will need to manually add these two items to the order.see Cheat
Sheets for more detail. Click on the Add Item button. When you do this, the form will go all the way back to
the top. So you will have to scroll back down to find the order you are working on. Add the FOCL on the new line. Then click on the Add Item button again and add the 400012 on this new line.
Again, if for any reason you need to look at an order in the AEBS Service Requests databasewithin Lotus Notes, click on the Do Not Complete checkbox on the order. The order will stayin the Pending (or Resent) folder instead of being completed automatically.
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AEBS Service Request
Finally, you will need to look at the Notes box:
If the note indicates that the client wants an additional quantity of one ormore of the items, go to the item/s and change the quantity.
If there are additional items listed in the notes box, you will just have to addlines to the order as you do with form orders. (see above)If the item is notone on the list, you will need to go back to the Brokerage Service Requestdb and reject the order (see below for details)
If you have questions on any of the orders, go to the AEBS database and look atthe original request. There may be times that you cant determine the correctinformation by just looking at the form created by the macro.
Once you have finished reviewing all of the orders, click Done.
NOTE: If an Error message pops up (a box that asks you to End the process orDebug it), do one of the following:
If you click Debug: This will bring you to the VBA code. Place the mouse over the code to
find out what record the error occurred.
Press F11 to bring up tables. Open table: NotesDataLoaded. Find therecord that created the error (near the bottom of the table) and fix theproblem. Move to the row above or below to save your changes.
Press F5 to continue the code.
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AEBS Service Request
If you click End: This will negate all of the work the macro did after the place where the error
occurred. You will then have to go to the BOS database and search for orders
completed that day. The orders on that list are ready to be sent. For those,you can go to the AEBS list and complete the requests.
You can then try to run the macro again - start at beginning of processabove with the remaining orders. You may get the error message again,though.
If the error re-occurs, those orders that did not get processed will have to be
completed manually if you want to include them in the days orders. (seeBrokerage Service Requests- Manual Process.) Then, when you process the next days orders, make sure that the orders
from day one are not still on the macro report- if they are, exclude them allby checking the Exclude box on each order.
A report of what was added to the database will be displayed. Before you send the file to Cenveo, you can edit any of the orders manually by going to the
BOS database and clicking on the Edit Ordericon (paper with pencil). Click on Find.Search by the clients name if you know it, or you can search by date- enter the current daysdate in the From: and the To: boxes.
At the end of the day, create the order file to Cenveo. Click on File, Create SAP Order File.This can only be done once a day.
Then, send via e-mail to the Cenveo contact for your area - currently Silverio Rios (copyingMichelle Wild).Note: this should happen via FTP & a request needs to be put intoTechnology to complete.there was a freeze due to the Day 700 work at the time thisdocument was created.
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Requests that need to be Rejected If on an order, there is in the Notes section a request for anitem that is not on the fulfillment list, reject the order andnote that the form requested is not available (many formsare electronic only). If there are other items, fill that part ofthe order as normal. Go to the Brokerage Service Request db - Orders by
StatusPending Open the order with the issue by searching for the
name. You Click on the Reject button and enter the reason in the
box that appears. Close & save your changes this will send a notice to
the service rep who made the request. Each d ay go to th e AEBS database and loo k to see if
there are any ord ers lef t in the Pending or Resentfo lder . If no i tem is ch osen on the form, it wi l l not beincluded in the macro proc ess abov e.