Objective
This SOP explains how to upload firm documents into the Rossby Port-All for compliance review. It ensures documents are submitted to the correct category, stored properly, and tracked through the review process.
Key Steps
1. Log in and open the My Firm section 0:01
- Sign in to the Rossby Port-All.
- From the main menu, click My Firm.
- This is the starting point for submitting firm documents to compliance.
2. Start a new document submission 0:14
- In the My Firm area, click Add Document.
- Use this option to begin a new compliance submission.
- Select the document type that matches what you are uploading.
3. Choose the correct document category 0:23
- Select the appropriate document type from the available options:
- Checks and security splatter
- Correspondence
- Marketing and advertisements
- Gift log
- Make sure the category matches the document being submitted.
- After selecting the type, click Choose File.
4. Select the file from your computer 0:38
- A file browser will open on your computer.
- Locate the document you want to submit.
- Select the file and click Open.
- Confirm that the correct file is attached before continuing.
5. Submit the document for review 0:48
- After the file is attached, click Submit for Review.
- This sends the document to the compliance team for review.
- Ensure the submission completes successfully before leaving the page.
6. Verify the document is stored in the assigned folder 0:57
- After submission, the document is stored in the assigned box folder for the marketing and advertising team.
- Click the Documents tab to confirm the file appears in the list.
- Check that the document is associated with the correct folder or team location.
7. Check submission status and view the file if needed 1:09
- Review the document Status; it should show In Progress after submission.
- Click View to open the submitted document.
- If you have access to the folder, the PDF may open in a new tab for review.
8. Confirm the submission appears in pending reviews 1:18
- Go to the Reviews area.
- Confirm the submission appears under Pending.
- This indicates the document has been successfully sent for compliance review.
Cautionary Notes
- Select the correct document type before uploading to avoid delays or misrouting.
- Verify the file name and contents before clicking Submit for Review.
- Access to view the PDF in a new tab depends on whether you have permission to that folder.
- Do not assume submission is complete until the document appears in Documents and Pending Reviews.
Tips for Efficiency
- Keep documents organized on your computer so the correct file can be found quickly.
- Use a consistent naming convention for uploads to make later review easier.
- Double-check the selected category before uploading to reduce compliance follow-up.
- After submitting, immediately confirm the file appears in both Documents and Pending to catch issues early.