To ensure your client's portfolios are in compliance, their current portfolio should fall within the risk band or between their risk preference and risk capacity scores.
TIFIN Wealth's Compliance Dashboard feature allows advisors to quickly sort through which client's are in or out of compliance.
Click Clients & Prospects > Risk Compliance tab within the table > by default, All clients will be shown along with their risk band and portfolio risk score:
Refresh the table by clicking between:
In Band - client's that are within the Risk Band and in Compliance
Adjust - client's that are outside their Risk Band and out of Compliance
Upload Portfolio - client's who need to upload their portfolio
This tool is great for Compliance teams or Admins as it shows which client's are in need of a conversation and an updating of their portfolio.
Exporting All Risk Scores
Use the Export feature to download a list of risk scores into excel.
Click Clients & Prospects > select Risk Compliance > click Export:
Choose to export all clients, those who are In Band, Out of Band (Adjust), or those who need their portfolio uploaded:
Click Export to download the file/spreadsheet.
