Marketing Communications Training BKGuide

7/28/2019 Marketing Communications Training BKGuide

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For internal use only. Not for inspection by, distribution or quotation to the general public.

Marketing CoordinatorBack-up Training Packet

2008


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For internal use only. Not for inspection by, distribution or quotation to the general public. 2

Position overview

Orientation - Your responsibilities

Required software and setup

Needs analysis

Software training

Job training

Development


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Your responsibilities

Assist with forms release

Submissions to ELROY and Compass ContentRequest Databases

Brokerage sales literature orders


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Required Software and Setup

Lotus Notes Database needed include: CompassContent Request, ELROY, CorporateCommunications, LN Brokerage Order

Microsoft Suite

Adobe ProfessionalAdvisorCompass

eForms Manager

eCatalog

Data14$ on 'Wmpif515' Cssvol1 on 'Ids_001\Vol1'

Data10$ on Wmpif517


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Software Training List

Lotus Notes Upon first opening use training provided,Databases sent in one email

ELROY Cindy J. Webster

AdvisorCompass Browse portals listed below and allowtime to review.

eForms Manager-https://Compass.ampadvisor.aexp.com/portal/site/pilot/menuitem.c15452e2149e88f114e8289559013859/?launchId=hn

eCataloghttp://ecatalog.ampf.com/eCatalog/AMPF/Help/AmexGettingStarted/GetStartedMain.htm

http://ecatalog.ampf.com/eCatalog/OrderHelp.aspx

Microsoft Access David Hatch

Data14$ on 'Wmpif515' - David Hatch

Cssvol1 on 'Ids_001\Vol1 - David Hatch


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For internal use only. Not for inspection by, distribution or quotation to the general public.

Introduction to forms

2008


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Forms process training schedule

Product and services

Field structure

Forms process

Forms structure

Where are forms housed

Meet the key players AOS formally CFM

Review: product managers, legal, compliance,risk, etc.

Review: acronyms, trademarks, branding


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Products and services

Brokerage: Ameriprise ONE Financial Account

Self Managed Brokerage Account (SMBA)

Non - proprietary mutual funds

Stocks, bonds, and options

Non - proprietary insurance B List annuities

Managed Products:

SMA

Active Portfolios

SPSAdvantage

External Products:

Alternative investments: REITs, TICs, Fund of Hedge Funds, 1031exchanges

Education savings plans: 529 Plans, Coverdells


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Brokerage

Ameripr ise ONE Financial Account - TheONE Financial Account bring the clients assettogether to provide a better understanding of aclients current financial situation. This can make

it easier for the client and financial advisor todevelop tailored solutions for the clients financialgoals.

Self Managed Brokerage Account (SMBA)Tom Westlund manages we help as needed


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Brokerage

Application

Qualified: QualifiedPlans/TSCA

402009

Client Agreement

Qualified: 7722

Application

Non-qualified: (Includes ONEFinancial Accounts)

8190 Advisor- OffersONE Features

7109 Client

200744 FSC

413029 Direct/ESO

Client Agreement

Non-qualified: 8020

Application

IRA:8323

200745 FSC

7723 Direct/ESO

Client Agreement

Qualified: 7722

Additional FormsDont change much

Account Features:

15028 to add ONE Features to Brokerage or SPSA

Direct Deposit:

8321

Commission Schedule: Brokerage Only

200030

Brokerage Fees:

200063

Margin Agreement:

200252

Self Managed Brokerage Account (SMBA) (# 29)

Tom Westlund manages we help as needed

Discretionary Trading:

402041, 402042



Managed products overview Premier PortfolioServices

AmeripriseStrategic Portfolio Service (SPS)Advantage A service that provides theconvenience of bringing your investments togetherwithin one portfolio allocated according to yourinvestment needs.

Act ive Port fo l ios An integrated solutiondesigned to produce sustainable, inflation-adjustedincome over a fixed period of time, or consistent, risk-adjusted returns through a disciplined, quantitativeprocess.

Separately Managed Accounts (SMA) Apersonalized portfolio of individual securities thatallows for greater control and transparency of holdingsthrough direct ownership.



Managed products Premier Portfolio Services

Applications

Non-qualified: (Includes ONE Financial Accounts)

413017

IRA:

413018

TSCA/Qualified Plans:

413058

Client Agreement

Used for Non-qualified and Qualified (all products)

413020

Temporary: 402032 FSC Pilot- only separate on pilot

Client Disclosure Brochure (ADV)

(used for Non-qualified and Qualified) Updated annually &supplement there after.

413021

Umbrella overActive Portfolios , SMAs and SPSAdvantage only

Additional Forms Only Advisors see them or Advisorfacing

Universal Change request:

413022Active Portfolios /SMAs

Premier Quick Reference Guide: 413038

Wrap Fee Calculation Worksheet: SPSAdvantage only

430008



External products group - EPG

Alternative investments:

Real Estate Investment Trusts (REITs)Is an invest in commercial properties, such as hotels, shoppingmalls, apartment buildings and office space. By law, they have to pass on nearly all their income, afterexpenses, to investors.

Tenant - In - Common (TICs) - An investment whereby multiple individuals can hold title to real property. Ifcertain requirements are satisfied, it may allow real property investors to defer capital gains via a 1031exchange. Owner/owners are allowed to own an undivided fractional interest in the entire property, whilealleviating the responsibilities of active property management. Under this co-ownership structure, the clientwill own an undivided fractional interest in an entire property and share in their portion of the net income, taxshelters, and growth. Further, they will receive a separate deed and title insurance for their percentage

interest in the property and generally have the same rights as a single owner.

Fund of Hedge Funds (FoHF) - a fund of hedge funds is a diversified portfolio of generally uncorrelatedhedge funds. These funds maybe widely diversified, sector-based or geographically focused. In general,funds of hedge funds seek to deliver more consistent returns than stock portfolios, mutual funds or individualhedge funds, while providing access to a broad range of investment styles, strategies and hedge fundmanagers.

Education savings plans: 529 College Savings Plan -A 529 Plan targets college tuition and expenses. It stays under

your control, plus it offers certain tax and contribution advantages. Coverdell Education Savings Account -Also offers tax benefits. It has a maximum

contribution limit of $2,000 per year.



External products group - EPGDont change as often / No qualified and non- qualified

Real Estate Investment Trusts (REITs) -

200728Product Owner - Heide X Ahmann

Tenant In - Common (TICs)

401058, 401056, 231717

Product Owner Dena Froiland

Fund of Hedge Funds (FoHF) - moving to EPGin August 2007

413019 - changing to 291039 in August 07

402067

402067-Inst.

Product Owner - Jennifer Simon

529 Plans (13 current hypothetical's)

200880, 200881, 200882, 200883, 200884,200885, 200886, 200887, 200888, 200889,200891, 200892, 200893, 200953, 401058,402012, 402015, 402016

Product Owner - Dan Knutson



Structure

Brokerage / ONEONE and SMBA

No Advisor needed

Managed products /Premier Portfolio

ServicesSPS Advantage, SMA,

Act ive Port fo l ios

External ProductsGroup (EPG)

529 Plans, Coverdell, REITs, TICs,Fund of Hedge Funds (FoHF)

Financial ServicesCenter (FSC)

Clients without a P1 or P2 advisor usethese P4 Advisors

Clientameriprise.com

AdvisoreForms Manager, eCatalog,

Printed, ameriprise.com

Direct / ESODirect and

Employee Stock Options

Several version of the same form are available to fit the end user: Advisor facing, Client facing, etc. For most of the 3 product groups listed below there are 4 of each form.



Forms Process

Coordinate intake process with product and stakeholders Communicate with AOS what intake or changes need to be made to

what forms for the upcoming release

Review stakeholders list with AOS and product owners for all formsincluded in the intake

Meet and discuss with product and other stakeholders to determine thescope of the intake proposed.

Ask for mockup information from product and stakeholders

Combine all mockup information and submit to AOS by requesteddeadline

Review revisions sent from AOS and send out revisions for furtherreview by stakeholders

Communicate with AOS any additional changes to the form perrevisions

Finalize and obtain sign-off on the new revised form by AOSs releasedeadline

Review business rules and communicate any changes to AOS

Complete forms testing per AOSs direction and provide final sign-off



Where are forms housed

Interactive:

Simplified Account Opening (eForms Manager) - updated by AOS is a electronic new business tool available toAmeriprise advisors. It allows advisors access to all new business applications as well as service related forms.eForms Manager is used to simplify the process of obtaining and completing client forms, meet compliancerequirements, reduce training time for new advisors and staff, and reduce the number of forms returned from thehome office.

eCatalog -updated by Cenveo is an index of all applications (both new business and service related), sales literature,brochures, etc. Use eCatalog to download or order forms and sales literature from supply. Search by entering itemnumber or title in the search bar above, or by browsing through categories below. Order Premier printed copies,

print directly from eCatalog. For questions about the use of eCatalog, call supply at 612-460-2336 [email protected]. For technical problems contact the Technology Help Desk

**Advisors have access to both eForms Manager and eCatalog via Adv isorCompass

DocSource

amerprise.com

PDF only:

FSC

Direct/ESO

Cenveo - Printer service for Premier Portfolio Services only



eForms Manager checklists- (CL = checklist)seldom require change

Brokerage: Qualified and Non - qualified

Ameriprise ONE Financial Account

External products group EPG:Fund of Hedge Funds

REITs

Managed products / Premier Portfolio Services:Qualified and Non - qualified

SPSAdvantage

SMA

Active Portfolio



Premier forms printing Advisors may orderpaper copies via eCatalog

Due to the number of pages in the Premier Portfolio Services

application, Client Agreement andDisclosure Brochure (ADV), a decision was made to make available to advisors, a print supply ofthe most frequently used forms.

Advisors can order a supply of printed forms, free of charge, by accessing eCatalog and placingan order. Turn around time is typically 24 hours.

AOS does not manage the printing of forms but they will send a PDF to our print vendor:Cenveo.

Production OperationsFor additional Info. on this group review Production Operations Overview powerpoint presentation Kevin Bendixons Director, do not contact unless escalation is necessary. His team will coordinate printing of forms including the

quantities needed.

Kevin's Team includes:

Melissa Dols and Backup: David Hatch If we have a update to a form and

need a supply update contact Melissa.



Advisor Online Services (AOS) formally Centralizedforms management (CFM)

The team that owns eForms Manager, eCatalog, andAmeriprise.com content publishing is the Advisor OnlineServices (AOS) team located in the Customer Service Center(CSC).

All Ameriprise forms, applications, etc. across the organization;Brokerage, Premier Portfolio Services, EPG, Annuities,Insurance, etc. are managed by this team.

Contacts:

Anjali P SrivastavaManager, Service Delivery AdvisorOnline Services ext.15545

Corryn K Wilson - Design Analyst, Advisor Online Servicingext.19325

John X Sopkowiak Graphics Coordinator, Advisor OnlineServicing ext.83043

Archana U Bhandary - Intake Coordinator, Advisor OnlineServicing ext.86393


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Happy Forms Management!



Submissions to ELROY and Compass content request

2007



Submissions to ELROY and Compass

Submissions to ELROY and Compass content request maycome from several different sources.

Forms do not need be submitted thru ELROY.

Any change to the content of theAdvisorCompasspages forBrokerage Debit Communications' will need to be submittedthru ELROY.

You may receive a request from a co - worker that does ordoes not have access to the ELROY or the Compass contentrequest databases. Feel free to request additional informationfrom these individuals to complete their request. Note: Pleasemakes sure to in the comments area or in the content ownerfields if applicable, indicate who you are submitting the requestfor. This will insure that the proper individual is contacted if

inquires arise about the submission. You may be asked to provide submitted information if the

content owner or individual leaves the company so back upyour ELROY and Compass content request submissions bysaving the files to your hard drive



Brokerage Sales Literature Orders (AEBS Service Request)

2008



AEBS service request- refer to cheat sheet

Requests that appear on the AEBS Service Request database - both thePending requests and the Resent requests are processed daily.

Orders are run through the macro on the BOS Access database.

Open the database and click on the icon just to the left of the spade icon. It looks like anopen book and if you place the cursor over it, it will read Run macro macNotesDataLoad.

This will take a few minutes to run.

A new screen will pop up displaying all of the orders- this is the form on whichyou will make any necessary edits. Review each order to make sure that it is

correct. The first and last name each should be in a separate field. The address, city, state, and zip, will all need to be in their designated fields. Checkboxes: Do Not Complete and Exclude.

Check the Do Not Complete checkbox to not complete the order in the AEBS ServiceRequests database within Lotus Notes. You would use this if there were manual itemsthat needed to be fulfilled (the Brokerage Guide), if the order needs to be rejected, or ifyou want to look at the actual order within Lotus Notes.

Check the Exclude checkbox to not include that specific line in the order to be sent toCenveo. For example, if someone ordered a brokerage kit and a brokerage application,the application is not necessary. Check Exclude on the brokerage application line andthis item will not be ordered.

You should never exclude the first line of an order while keeping other lines of thesame order. This is because the address and name are included only on the firstline. Change the item number in the first line and exclude a latter line.



AEBS Service Request

Look at the item/s chosen. There are a number of edits that may be necessary in this area: Note: if there are multiple items, only the first line will contain the client information and the

partner/source code information. The information on that line will apply to each additional linefor that order.

Make sure that the Partner and Charge Unit fields are populated and are correct. If the item chosen is a certificate or a prospectus under the AXF partner code, make sure that

the correct envelope is also included with the order (1222 or 100025). If not, you will need tomanually add this item.see Cheat Sheets for more detail.

Click on the Add Item button. When you do this, the form will go all the way back tothe top. So you will have to scroll back down to find the order you are working on.

Add the correct envelope (1222 or 100025) on the new line.

If the item chosen is a prospectus under the DIG partner code, make sure that a BRE(400012) is NOT included. If it is, check the Exclude checkbox on that line. Also, make surethat a cover letter (FOCL) is included. If not, you will need to manually add this item to theorder.see Cheat Sheets for more detail

Click on the Add Item button. When you do this, the form will go all the way back tothe top. So you will have to scroll back down to find the order you are working on.

Add the FOCL on the new line. If the item chosen is a form, make sure that a cover letter (FOCL) and a BRE (400012) are

also included. If not, you will need to manually add these two items to the order.see Cheat

Sheets for more detail. Click on the Add Item button. When you do this, the form will go all the way back to

the top. So you will have to scroll back down to find the order you are working on. Add the FOCL on the new line. Then click on the Add Item button again and add the 400012 on this new line.

Again, if for any reason you need to look at an order in the AEBS Service Requests databasewithin Lotus Notes, click on the Do Not Complete checkbox on the order. The order will stayin the Pending (or Resent) folder instead of being completed automatically.




Finally, you will need to look at the Notes box:

If the note indicates that the client wants an additional quantity of one ormore of the items, go to the item/s and change the quantity.

If there are additional items listed in the notes box, you will just have to addlines to the order as you do with form orders. (see above)If the item is notone on the list, you will need to go back to the Brokerage Service Requestdb and reject the order (see below for details)

If you have questions on any of the orders, go to the AEBS database and look atthe original request. There may be times that you cant determine the correctinformation by just looking at the form created by the macro.

Once you have finished reviewing all of the orders, click Done.

NOTE: If an Error message pops up (a box that asks you to End the process orDebug it), do one of the following:

If you click Debug: This will bring you to the VBA code. Place the mouse over the code to

find out what record the error occurred.

Press F11 to bring up tables. Open table: NotesDataLoaded. Find therecord that created the error (near the bottom of the table) and fix theproblem. Move to the row above or below to save your changes.

Press F5 to continue the code.




If you click End: This will negate all of the work the macro did after the place where the error

occurred. You will then have to go to the BOS database and search for orders

completed that day. The orders on that list are ready to be sent. For those,you can go to the AEBS list and complete the requests.

You can then try to run the macro again - start at beginning of processabove with the remaining orders. You may get the error message again,though.

If the error re-occurs, those orders that did not get processed will have to be

completed manually if you want to include them in the days orders. (seeBrokerage Service Requests- Manual Process.) Then, when you process the next days orders, make sure that the orders

from day one are not still on the macro report- if they are, exclude them allby checking the Exclude box on each order.

A report of what was added to the database will be displayed. Before you send the file to Cenveo, you can edit any of the orders manually by going to the

BOS database and clicking on the Edit Ordericon (paper with pencil). Click on Find.Search by the clients name if you know it, or you can search by date- enter the current daysdate in the From: and the To: boxes.

At the end of the day, create the order file to Cenveo. Click on File, Create SAP Order File.This can only be done once a day.

Then, send via e-mail to the Cenveo contact for your area - currently Silverio Rios (copyingMichelle Wild).Note: this should happen via FTP & a request needs to be put intoTechnology to complete.there was a freeze due to the Day 700 work at the time thisdocument was created.


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Requests that need to be Rejected If on an order, there is in the Notes section a request for anitem that is not on the fulfillment list, reject the order andnote that the form requested is not available (many formsare electronic only). If there are other items, fill that part ofthe order as normal. Go to the Brokerage Service Request db - Orders by

StatusPending Open the order with the issue by searching for the

name. You Click on the Reject button and enter the reason in the

box that appears. Close & save your changes this will send a notice to

the service rep who made the request. Each d ay go to th e AEBS database and loo k to see if

there are any ord ers lef t in the Pending or Resentfo lder . If no i tem is ch osen on the form, it wi l l not beincluded in the macro proc ess abov e.

Marketing Communications Training BKGuide

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