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Getting Started: Part One
1
New User Training
Getting Started
www.iress.com
Getting Started: Part One
2
Contents
Introduction……………………………………………………………………………………………………………………………..3
1.0 Opening and closing Adviser Office………………………………………………………………………………………4
1.1 Customising your task bar…………………………………………………………………………………………………...5
2.0 Client records in Adviser Office…………………………………………………………………………………………….6
2.1 Navigation of Client Management……………………………………………………………………………………….7
2.2 Adding Clients and Prospects…………………………………………………………………………………………….…8
2.3 Adding a new Proposal………………………………………………………………………………………………….......9
2.4 Adding Existing Plans……………………………………………………………………………………………..………….10
2.5 Adding Client Notes……………………………………………………………………………………………………..…….11
3.0 Glossary of Adviser Office Modules……………………………………………………………………………....12-15
Getting Started: Part One
3
Opening and Closing Adviser Office
To access Adviser officer you need to log into the Adviser Office Taskbar. At the end of each day you need
to log out of the taskbar.
1. Double click on the Adviser Office icon on your desktop.
2. If you have more than one database you will need to select the relevant
database
3. Enter your username and password (this is available from your system supervisor. Click Ok.
4. The Adviser Office icon will appear in the bottom right
hand corner of the screen. You are now logged in to
Adviser Office.
5. Click on the Taskbar and a menu will appear. To access a module click on the menu.
6. Ensure that you log out of Adviser Office at the end of each day. Close all modules and click Exit
Taskbar on the Taskbar.
Getting Started: Part One
4
Customising your Taskbar
Your Taskbar is a shortcut to the Adviser Office modules that are used most frequently.
Click on the icon to launch the taskbar. Select Customise Taskbar. Tick the modules you need access to.
Modules you need access to regularly will appear under Run Programs.
Maintain Adviser Office: Maintenance options for Adviser Office including Database Administration.
Link to Other Software Programs: Quick access to other programs
Troubleshooting: Links to the help pages
Personal Task List: Your most commonly used modules.
Getting Started: Part One
5
Opening an Existing Client Record
You will need to search for an existing client and their data on the system. This search is carried out in Client Management.
From your Taskbar select Client Management.
Select Open Client.
To search for a client by their name, type their surname in the Name field.
Find the relevant client then click OK.
You can also search by Postcode, Policy Number, Proposal Reference, Nominee Registration, NI
Number, Date of Birth and Invoice Number.
Getting Started: Part One
6
Navigation of Client Management
To access information in Client Management there are four bars found on the left hand side of your screen.
1. Contains factfind information
2. This gives you access to a client’s plans, assets and investments.
3. Lists Activity Entries, telephone calls, appointments and general correspondence.
4. This includes the two way integration with the Exchange
Summary Options
This is an important section of Client Management. This is where you would find a list of plans, investments and assets held by the client.
1. On the left hand menu click on Plan Summary.
2. A list of plans held by the client will be displayed. To view the details of a plan double click on a plan.
3. Click on Portfolio Summary. This section lists all investments, plans and assets held by the client. You can open an entry by double clicking on it. This will open a separate window.
4. Filtering on Portfolio or Plan Summary: You can filter the owner of the various holdings. You can do this by right clicking on the words Portfolio Summary or Plan Summary. You can also filter by Plans, Assets and Investments.
Getting Started: Part One
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Adding Clients and Prospects
1. Click on the New Client Icon and the New Prospect Wizard will launch.
2. Navigate through the Wizard by clicking Next. (You will be prompted to confirm if the client has any
objection to their information being stored)
3. Basic Prospect Details select the appropriate Prospect Type and
Status. You can also pre-populate the basic details to a partner’s
record. (Select Yes in the box on the right hand side) Then once you
have completed all the relevant details click Next.
4. If you wish to copy the basic details to a partner record select Yes in the bottom right of the box. Once
completed click Next.
5. Do you want to check the HM Treasury Sanctions list? When answered Yes and Next clicked will
launch the HM Treasury website.
6. If you opted to have the Partner’s details pre-populated in the Partner box. It will appear here. You
can then continue to add further detail.
Getting Started: Part One
8
Adding a New Proposal
New plans are added via the Client Management module. This can be done via the New Business Wizard.
1. Click on the New Business Wizard icon.
2. Select Current Client, New Plan.
3. Click OK. The New Business Wizard screen will launch.
4. Select the Client Remuneration button (this is where you will check default set up is correct).
Getting Started: Part One
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5. The Extended Personal Details button is where you can add any extra detail you may have on the
application form which is not already entered onto the system. Adding it here will ensure that it is saved to the Client’s factfind.
6. Click on New Plan Details. The Product Details screen will open. ( Here you can add the proposal details.
7. Click on the key next to Scheme and select the Product Type that you
Require. The Plan Selection box will appear. Click on the drop down
Menu next to Product Type and select the generic plan type from the
list. Click OK.
8. Select the correct plan owner type. Client, Partner or Joint.
9. Proposed date is the date that the client signed the proposal. The On Risk tick box can be ticked
if the plan has commenced. Usually at this stage the plan is not on risk and can be ticked at a later
stage once the plan is on risk.(The commencement date is required by Adviser Office as this is
used to calculate expected fees or Adviser Charges. If this date is not known add the Proposal
date. This can be changed at a later date. Enter any further information and click OK.
10. Premium and Frequency: information on the premium and also the frequency of payment can be
added here> (Frequency can be monthly, single, annual, half yearly or quarterly)
11. Enter any further information and click OK
12. A box will appear with a proposal reference number. This can then be added into the Plan
Review. Click OK.
Please note Remuneration will be covered in a separate training guide (Fees & Invoicing).
Getting Started: Part One
10
Updating New Proposals
The New Business Wizard will help you to input the basic proposal or application details and expected
commission, but your records will need to be updated as the application proceeds.
1. Access either Plan Summary or Portfolio Summary in Client Management.
Double click on the plan you wish to update.
2. Click on Basic Details. This screen contains dates associated
With the plan (Maturity date and commencement date)
Once you know the commencement date enter it on to the
system and tick the On Risk box.
3. The Premium History icon is used to record changes in the
Premium amount. (There is a workbook which guides you through
this section)
4. The Remuneration History screens are used to update
remuneration expected or received on the plan. No action is
required if the plan was added via the New Business Wizard.
5. Click on Investment History. This screen contains details of the
funds that the premiums are invested in and the current value of the plan. (Please refer to the Investment History Workbook to
guide you through this area)
Getting Started: Part One
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Adding Existing Plans
Existing plans and investments can be added either using the Client Management module or the Personal Factfind module.
The minimum information that you will require to add the details of an existing plan is the type of plan and the provider (manager). Once an existing plan is added to the system you can update the details as and when you obtain further information by double clicking on the entry to open the plan details.
1. In Client Management click on Summary Options.
Double click on New Plan. Select the appropriate product type for the plan from the drop down menu. Double click on the
required plan.
2. Basic Details will need to be completed in this screen
you can add Proposal Date, Commencement Date and dates relevant to the plan.
3. Premium History: This screen is used to update premium information
4. Remuneration History: Information in relation to Remuneration received can be recorded here.
5. Investment History: Fun information is added here.
Getting Started: Part One
12
Adding Client Notes
There are ways of recording information against a client’s record. This can be done in the form of a note.
1. Click on the Notes icon. When the note icon is blank it means that there are no notes on the client’s record. The right hand icon illustrates when there are notes applied to the client’s record.
2. There are different kinds of notes that can be applied to a client’s record.
Basic Information: recording relevant information against a client record. This is also a
searchable field in Query Builder.
Report Notes: This is a searchable field in Query Builder.
Internal Comments: This is for recording notes that are strictly for internal user. These can
also be searched for in Query Builder.
Critical Notes: A flag will appear on the client’s record when a note is added here. And a
red exclamation mark will appear on the notes icon.
Warning Notes: An automatic warning is generated when a user opens an entry in Client
Management. The user must acknowledge the warning before proceeding to use the client
record.
Getting Started: Part One
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Glossary of Adviser Office Modules
Module Use Notes
Activity
Manager Reminder system which allows you to track your work through to completion.
Telephone conversations and notes of appointments can also be recorded against
the client record.
Bulk Services Bulk updating of the database to save you time and effort. (E.g. charging fees in
bulk).
Business
Management
Reconciling fees and commission entries once they have been received. Data
entered in this module is used to produce your management reports.
Client
Management
Main module within Adviser Office and holds all personal and factfind details and
any associated Policy and Investment records.
Employer
Services
Manage corporate schemes and employee benefits and also includes SSAS
information and portfolios.
Personal
Factfind Record factfind information if you use the Adviser Office factfind and can also be
used to print a populated factfind.
Financial
Scenario
Analysis
Create ‘what if’ scenarios and also use the data to create suitability letters and
reports.
Mortgage
Manager
Track mortgage enquiries and applications through to completion. Download
information entered in this module to Mortgage Brain, Trigold and others.
Getting Started: Part One
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Outside
Services
Set up fund and price feeds (e.g. through Financial Express) and also set up
fund downloads from Cofunds and others.
Query Builder
Enables you to run extensive client searches based on selected criteria. Query
Builder can also be used to build compliance reports, create client groups and
run a mailmerge.
Report Server
Provides numerous reports to assist with both Client Reporting and internal
Management Information. Blank and pre-populated factfinds can also be
printed here.
Write a Letter This is a shortcut to your list of standard documents.
Open a Client Calls up a list of existing clients.
Log a Call
Make a record of telephone conversations with clients and providers etc.
Send Outlook
Email/ Generic
Send an Outlook email to clients or their contacts where the email address is
recorded on Adviser Office. The email will be recorded against the client
record. The Generic Email option is for use where Outlook is not used as the
email software.
Record a Time
Charge
Timing clock for time-based fees.
Weekly Time
Sheet
Record fees on a time basis and monitor these within Adviser Office. They
can also be used to calculate client profitability.
My Activity
List
This option will call up your activity list for the day.
Getting Started: Part One
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Letter Writer
Letter templates can be created through this module and used in conjunction
with Word, allowing the merged results to be stored within the Client Activity
records in Adviser Office.
SIPP Manager As its name suggests this module is used to record Self Invested Personal
Pensions and the associated portfolios.
Client Transfer This module allows client records to be downloaded to a laptop or remote
PC. Changes can also be uploaded to the main database.
Getting Started: Part One
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