This forum covers the following topics
The Training tab within the producer profile has been redesigned. Additional information is now shown for FINRA registrations, completed AML trainings, continuing education and professional designations. A history of AML and CE training is now shown in the Training Courses section. AML & CE Training Course information can now also be automatically imported on behalf of the producer from popular providers such as WebCE, RegEd, LIMRA with more providers to be added in the future. Using this tab you can:
1. Enter and/or update FINRA Information
2. Review, Add, and Update Course Anti-Money Laundering (AML) Completion Information
3. Update & Maintain AML & CE Training Course Information
4. Confirm existing, Edit, and Add Producer Professional Designations
The new Training tab is comprised of the following 4 sections. Click on any section to learn more about that section below:
The top pane is used to enter FINRA information for registered producers. If FINRA registered select the 'Yes' radio button, enter the CRD #, and click Load. SuerLC will pull the information from Broker Check. If not FINRA registered click 'No'. ALL data shown below the CRD # is obtained from FINRA via the Brokercheck website.
How to Setup FINRA Registration
Step 1: If FINRA Registered click the ‘Yes’ radio button. If not click ‘No’.
Step 2: You can search for your FINRA registration by name by clicking on the “Search by Name” button. In the following example a match was not found.
Step 3: If FINRA does not find a match you can alternatively search by CRD# using the field provided. To search by CRD #, enter the number and click “Load”.
If a match is found you’ll be asked to confirm your identity. If this is you click “Confirm, it’s me”. If not and you entered the CRD # incorrectly click “Wrong CRD#” and you can re-enter the number and to search again.
Step 4: Once your identity is confirmed a summary your FINRA profile will be shown. The information shown is pulled directly from the FINRA BrokerCheck website. For more information click on any of the tiles below to which will open a web browser and direct you to your FINRA profile.
For example, clicking on “State Registrations” tile you can find out more details showing which states are registered.
This pane is used to add new and edit existing AML Training information. In some cases, completing an AML Training course within a certain time frame will be needed as part of the carrier's contracting request requirements. Agencies can choose to require AML for their producers, which will take precedence over the carrier's requirement. Also, please note that AML training information can also be automatically populated when agreeing to the terms and providing logon credentials in the Training Courses (section 3 below). This section explains how to manually add and edit existing training AML training information.
Step 1: Click "Add AML Training" to import AML training courses or to add courses manually.
Step 2: Enter the name of the Course Provider. Clicking into the search field will open the list of popular providers. If listed, choose the provider from the list. If not don't worry, just manually enter the name of the provider.
Step 3: Next, choose to import provider courses or add manually. Import provider courses is selected by default. If you have logon credentials for the selected course provider (username & password) you can review and agree to the terms and then enter your username and password in the fields provided and SureLC will retrieve the training information for you. If you don't have it simply click "No Thanks" and/or "Add Manually" to enter the information yourself.
Step 4: When not importing the information automatically, Add manually will be selected. Using this screen you'll need to upload a copy of your AML certificate and enter the requested information. Click on the cloud icon to upload a copy of your certificate.
Once the certificate is successfully uploaded an auto preview pane will open to the right. Review the certificate information to make sure it looks correct.
Step 5: Next, enter the course name in the field provided. In some cases the course name may be found on the AML certificate.
Step 6: After entering the name of the course, the course id field will be shown. Enter the course id if you have it (this is optional). Next, enter the completion date and then review the information entered. If everything is verified click "Add" to update the AML table section.
Step 7: Once added, the dialog box will close and the AML training course information will now be shown in the course section.
Repeat steps 1-6 to add additional AML courses.
Please Note: The trash can icon will only be shown for manually added AML courses. When AML course information is pulled directly from the provider (as shown in the Training Course section 3 below) this information cannot be edited or deleted. Contact SuranceBay technical support for help with this task if needed.
Step 1: Select the “Edit AML Training” button on the AML training row you want to modify. This will open the properties dialog box where the current information can be modified.
Step 2: Using the Edit Training: AML section you can change the Course Name, Course ID and Completion date only.
Step 3: Once you’ve made the desired changes to the AML information click the “Save” button to update the AML section with the new information. In the following example, the name of the AML training course has been changed. Please note to change the provider name or AML certificate you must delete the training information row completely using the trashcan icon on the right and add it again with the new information.
This section shows the history of the producer's AML and CE training courses over time. From here you can view past training information, configure SureLC to auto import your training details from popular AML training providers such as Limra, WebCE, Florida State, and RegEd. When information is imported it will automatically be added to the history table and if applicable to AML training section above. Once configured to use credentials for one of these providers SureLC will scan for changes periodically and update the table and AML information.
How to Setup AML/CE Training providers to Import Training Data Automatically
Step 1: Select the provider you want to have login to your profile and download training course information on your behalf. To do this you must provide your username & password and agree to the terms presented. The information retrieved will be used to update the Training Courses and if applicable AML training sections. Click on the desired provider to start this process. In the following example WebCE will be used.
Step 2: Once the drop down box has been expanded read the text provided and click the “I agree” radio button continue.
Step 3: Enter your username and password and then click the “Retrieve trainings” button.
Step 4: After a successful login and retrieval of information a few things will happen. First, the following message will be shown.
Next, you’ll notice that the Training Courses table has been updated with the information retrieved from the provider. Notice the source is set to the provider who provided the information. Manual entries from AML Training will show the source as “User Input”.
Finally, if applicable the AML Training Course Completion section will be updated but only if valid AML training information was found. In the following example two valid WebCE AML training courses were imported and automatically added.
To add additional provider information repeat steps 1-4.
This section is used to confirm any professional designations found on the FINRA Broker check website for your producer profile and to manually add , edit, and/or remove professional designations to or from your producer profile. Any professional designations that should be listed that are not can be added manually. Please note that in some cases carriers require the appropriate professional designations be applied to their contracting paperwork if applicable. In most cases this is rare and optional, but in a few rare cases it is.
To confirm any professional designations found on the FINRA BrokerCheck site click either "Yes, It's me" if the record matches and it does not select "Reject". In the following example the 1st record matches but the 2nd does not.
How to Add a Professional Designation:
Step 1: Click on the “Add Designation” button.
Step 2: Using the designation list select the designation type to add or search by keyword for the desired designation. Once selected enter the start date and end date.
Step 3: Click “Add Designation” to update the Designation section with the new information. Note that the button will be activated after the start and end date has been entered. Once added the new designation will be listed.
At this point the designation has been added. To add additional designations repeat steps 1-3. Once added to edit or remove a designation hover over the listed designation name with the mouse cursor and the edit/remove buttons will appear... Click the Edit button to make changes to the start / end dates or the - to remove.
Thank you for reviewing this information about the new training tab. If you have any additional questions, problems, or suggestions for improvement please contact SuranceBay technical support.