Securities America Inc Enhancement to Comp Alarms Remedy Schema Presented by Anneliese Keil Company Background Securities America Inc SAI is a registered broker dealer and Member of the NASD SAI is required to supervise the activities of its registered representatives Specifically representatives must submit copies of correspondence for review on a monthly basis Objective and Scope Remedy is used to track receipt and evidence approval of correspondence submissions An efficient means of tracking correspondence not submitted is needed Scope System to reflect correspondence that has not been received and on demand reports for follow up Project Deliverables Enhancement to Remedy Comp Alarms schema Add radio buttons for each month of the year and have an open ticket for each rep effective with the company Monthly automated email notifiers sent to delinquent reps On demand reports of reps that are delinquent Cost IT Remedy Expert will be assigned this project on a part time basis 20 hours week IT team member expected number of hours is 122 5 hours Compliance team member expected hours spent on project is 6 5 Risk Low risk because Remedy Program already used across the company Code written for this project will be applied to other compliance projects No need for additional training of staff Evaluation of Project Success Increase in correspondence submissions by 25 within first quarter of implementation Email notifiers are sent to reps requesting correspondence submissions Remedy pulls rep information from MIPS This code can be used in other projects Questions
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