Steps to take after termination or departure of an employee
Applies to: CCO and Compliance roles
Summary: Lock an employee with User Management
NOTE: Be sure to review additional access accounts of the employee.
Lock Employee Access in SmartRIA
In your CCO/Compliance role, go to Settings
Click on User Management
Click the LOCK next to the employee's name to Lock Account
You will need to refresh this page before the changes will show.
This will make the employees inactive in the app, and remove any outstanding tasks that were assigned to them.
Additional Steps to Consider
- Update your Access Persons in your firm's Code of Ethics
- Review other platforms the employee had access to in your data governance platform (Learn more about SmartRIA's Data Governance)