Overview of Users Roles for CCOs

  • CCO Role- These users have the highest level of access and oversight within a Company.   The CCO can modify company settings, create and edit clients, create company-wide compliance calendar and tasks, create and modify forms, run company-wide or advisor-specific reports, and view/edit CCO-level document storage, manage alerts. The CCO can authorize a user with the role of support to support the CCO. The CCO can also set custom trade rules for companies that have Trade Monitoring enabled.
  • Compliance Support Role- CCOs who work with Compliance Consultants in Smart RIA, can authorize their consultants to provide advanced compliance support.  This authorization will give consultants a Compliance Support role in the company.
  • Compliance Role- Users who are part of the compliance team, and have the same client and document storage access privileges as the CCO.
  • Advisor Role- IAR users.  These users can have clients, receive tasks, complete quarterly attestations, submit gift reports and other forms for approval, and access client and company-wide document storage.  They will have access to trade monitoring rules providing trade monitoring is enabled.
  • Access Role- As an Access person in your firm, although you don’t have clients, you do have access to client data, and so you have to complete relevant attestations related to your adherence to compliance obligations. The Smart RIA Access Role allows you to do just that. The system assigns compliance tasks and forms to you and notifies you of anything that’s happened in your firm that you need to react to. Whether you’re a manager, an admin support person, or someone else, the Access role gives you super simple workflows to remain up to date and compliant.
  • Support Role- The Support Role in Smart RIA allows you to easily complete various activities for one or multiple other people in your firm. These activities could be anything from uploading client documents to documenting the completion of compliance tasks to filling out compliance forms for signature by a person who you’re supporting.  Select who to support or choose a different role from your dashboard and return back to your dashboard by hovering your cursor over your initials icon in the upper-right-hand corner of your Smart RIA screen and selecting the appropriate action from the dropdown.