Broker Dealer Workflow

WinOPS Commission & Compliance Broker Dealer Software

Broker Dealer Workflow

Broker Dealer Workflow within C5 Solutions broker dealer software is a combinations of all three of our Products WinOPS, Mobile Dashboard and Compliance Console. The rep or field user can use the Mobile Dashboard to view, change or add a customer in the back office WinOPS system. To start a Workflow item the field agent would upload a customer image to the Mobile Dashboard to create a Workflow item. From there the Broker Dealer back office Launches the Compliance Console see a new item in the queue for compliance review process. If any issues arise the back office can use the Compliance Console to alert the rep of any missing or incorrect information. The rep can communicate back and forth using the Mobile Dashboard. This technology allows business to be streamlined because all the communication is done electronically.

The Outdated Process:

  1. Having reps fill out account forms and applications.
  2. Get client signatures and checks.
  3. Make copies and physically forward the application.

C5 Solutions Workflow technology can streamline this process to make your broker dealer data useful while saving time and money!

The C5 Solutions Broker Dealer Workflow Solution lets you pay your reps electronically and deliver their commission statements using any mobile devices. This frees your staff from the tedious process of mailing commissions, checks and statements.