Viewing Brokers & Officers
To View the Compliance officers and Brokers within i-mapx just select Compliance Admin from the drop down menu from the top right hand corner when logging in as shown below.
This will then take you into the Compliance section of i-mapx. The tabs along the top are the same as the broker section apart from there is a tab called Compliance Brokers and Cases. This tab is where you can view all data about your compliance officers, Brokers and their cases.
There are two main tables, the first of which lists all Your Compliance Officers and the second shows Brokers Assigned To You.
If you click on one of the compliance officers the second table then shows all brokers that are assigned to that individual compliance officer. To view that brokers details all you have to do then is click on that brokers name and it will open up their details. There is also a search option to assist in locating a broker record
The second table shows all the Brokers Assigned To You. This works in the same way as the compliance officers table all you have to do to view the data is click on the name of the broker. This will then open up the compliance section for that individual broker, displaying all their compliance records. Once the new section opens up you will notice that you have a set of new tabs.
Adviser Details
The first tab you see along the top of the page is adviser which stores full contact information for an individual adviser. This section also shows any training history you have had with the broker. To add a new training history item for the broker all you have to do is click the Add New Row button and this will open up an input form.