How to Lock an Employee in SmartRIA

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

  1. In your CCO/Compliance role, go to Settings
  2. Click on User Management
  3. 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

  1. Update your Access Persons in your firm's Code of Ethics
  2. Review other platforms the employee had access to in your data governance platform (Learn more about SmartRIA's Data Governance)