Objective
This SOP explains how a Rossby Financial Partner Firm member should use the Rossby Port-All dashboard to monitor compliance, review client information, and identify items requiring action. It is intended to help team members quickly understand where to find key workflow items and what each dashboard section is used for.
Key Steps
1. Log in to the Rossby Port-All and open the dashboard 0:30
- Sign in to the Rossby Port-All to access your firm’s centralized compliance and operations workspace.
- Start on the Dashboard, which serves as the main landing page for daily work.
- Use the dashboard as your entry point for reviewing firm activity and identifying tasks that need attention.
2. Review the dashboard summary for firm status 0:38
- Check the dashboard summary to understand the current status of your partner firm.
- Review key indicators such as:
- Total assets
- Clients
- Items requiring attention
- Use this overview to quickly assess whether any compliance or operational issues need follow-up.
3. Open items submitted and waiting for Rossby review 0:51
- Look for items marked as submitted and waiting for Rossby review.
- Select the row or item to open the related Compliance Reviews section.
- Use this area to:
- See what is currently under review
- Identify items that have been returned for correction
- Track the status of compliance submissions
4. Check new clients and accounts to match 1:14
- Review the new clients and accounts to match section on the dashboard.
- Click the row to view newly imported accounts.
- Confirm which accounts were pulled in from connected systems such as:
- Black Diamond
- Advyzon
- Use this queue to prepare for reconciliation and ensure new accounts are properly matched.
5. Review accounts that are not approved 1:28
- Locate the accounts that are not approved section on the dashboard.
- Treat this as a priority area because these accounts need attention to remain compliant.
- Investigate why the accounts are not approved and determine the next required action.
- Use this section as a compliance checkpoint to help maintain alignment with Rospi Financial policies.
Cautionary Notes
- Do not ignore dashboard items marked as needing attention; they may indicate compliance risks.
- If a submission is returned for correction, address the issue promptly before resubmitting.
- Unapproved accounts should be reviewed carefully to avoid compliance violations.
- The reconciliation queue is referenced but not covered in detail here; follow the separate SOP or training for that process.
Tips for Efficiency
- Make the dashboard your first stop each time you log in.
- Prioritize items in this order:
- Returned compliance items
- Unapproved accounts
- New clients/accounts to match
- Use the dashboard summary to quickly identify where your attention is needed most.
- Check the portal regularly to stay ahead of compliance deadlines and review requests.