The system is in continuous evolution, always bringing improvements and innovations to optimize daily usability. It is now possible to further enhance an employee's profile with the new certification field, in addition to the features already available on the platform.
Keep reading to learn more!
What is a certification?
Employee certifications ensure that financial market professionals have the knowledge and skills necessary to operate in accordance with industry regulations and practices. These certifications aim to protect investors and ensure the quality and compliance of services provided.
Accessing the employee's profile
To access the 'Certification' field, you must first ensure that the employee is registered in the system, as it will only be possible to add this information after the profile has been created.
In the left menu, select "Employees" and then "All Employees". Find the name of the employee to whom you want to add the certification and click on their name to access their profile.
How to add a certification to the employee profile?
When accessing the employee profile, click on the "Certification" option located at the top of the screen, next to 'Mandate':
Then, click "Add" and proceed to fill in the information for the new certification that will appear on the screen, including:
Certification Name;
Start date;
End date/expiration date;
Registration number, and;
Attach a certificate (optional).
To finish, click "Add" to include the information in the employee profile.
How to add a score to each certification?
Once the certification is added to the employee's profile, the system will allow the entry of the following data related to the certification:
Add period;
Delete certification;
Edit certification details, and;
Download certification.
By selecting the "Add period" option, the following information related to the certification score can be entered:
PEC Start Date: Enter the start date of the scoring period.
End Date: Enter the end date of the PEC period.
Points to be earned in the period: Enter the numerical value of the score that should count for that certification.
Notes (optional): A free field to record additional information, such as the activity carried out, course completed, or other justification.
To save, click "Add".
After that, under "Actions", it will be possible to perform configurations that affect only the certification score. For example, you will be able to edit or remove the added period, include a new score, or delete an already registered score.
Action History
All actions performed on the employee's profile, including the addition or deletion of certifications, are recorded in the 'Historic' section within the Discussion module.
This history is a detailed record of all interactions and modifications made to the profile, ensuring traceability and transparency across all changes.
Email Notifications
A very useful feature of certifications is the automatic sending of email notifications when an expiration date is approaching. Notifications are sent to users designated as “Subscribers” in the employee’s profile, as well as to the employee themselves.
Alerts are sent via email 90, 60, and 30 days in advance, allowing the Compliance team to plan ahead and prepare employees for the renewal or update of their certifications, thereby preventing certifications from expiring and ensuring regulatory compliance.
💡Need help? Please contact us through system's chat or send an email to suporte@compliasset.com