Tracking and following up on service requests ensures they are processed efficiently and within the expected timeframe. By regularly checking the status of requests, you can provide clients with accurate updates and take action i additional steps are needed.
When to Track & Follow Up on Requests
You should track and follow up on service requests when:
- A client inquires about the status of their request.
- A client has exceeded its standard processing time.
- Additional documentation or approval is required.
- The request has been marked as complete, but further action is needed.
How to Track a Withdrawal Request
To access the pipeline and track the status of submitted requests:
- Navigate to the ticket index page:
- In the CRM, navigate to CRM > Tickets
- To view the Withdraw pipeline, click the pipeline dropdown menu and select Withdraw.
You can view the tickets in the Withdraw pipeline in either board view or list view to track the progress, status, and assignments of requests.
Withdraw Pipeline Stages Overview
Below are the pipeline stages and a high-level explanation of their functions:
- In Review: Newly entered tickets are placed in this stage for the Portfolio Manager to review. The information is verified for accuracy and to confirm the appropriateness of the request.
- Trade Processing: Tickets advance here when insufficient cash is available to fulfill a withdrawal. Trades are executed to generate the required funds. Once trades settle, tickets move forward automatically.
- In Process: Approved tickets proceed to this stage, where the Optimize Trading team processes the request as instructed.
- Completed: Requests in this stage have been fully processed and funds withdrawn. No further action is necessary.
Expected Timelines & SLAs
- EFT Out Requests: typically 1-2 business days
- Withdraw to investment account: In-Kind, typically 2-3 business days and Cash, typically 7-11 business days.
- Send cheque to address: typically 7-11 business days
- Sent to third party: typically 7-11 business days
How to Track an Add Funds Ticket
To access the pipeline and track the status of submitted requests:
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Navigate to the ticket index page:
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In the CRM, navigate to CRM > Tickets
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To view the Add Funds pipeline, click the pipeline dropdown menu and select Add Funds.
You can view the tickets in the Add Funds pipeline in either board view or list view to track the progress, status, and assignments of requests.
Add Funds Pipeline Stages Overview
Below are the pipeline stages and a high-level explanation of their functions:
- In Review: Requests undergo initial validation and suitability checks. Depending on the submission conditions, reviews may include the assigned Portfolio Manager or Compliance.
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In Process: The Money Movement team submits approved requests to the custodian and ensures proper completion, including confirming receipt of funds.
- Completed: Requests in this stage are either successfully completed, rejected, or cancelled. No further action is necessary.
Expected Timelines & SLAs
- EFT In Requests: typically 2–3 business days
- Contributions from Investment Accounts: typically 2–3 business days
- Initiate a Transfer: typically 10–15 business days
How to Track a Transfer Ticket
To access the pipeline and track the status of submitted requests:
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Navigate to the ticket index page:
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In the CRM, navigate to CRM > Tickets
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To view the Transfer pipeline, click the pipeline dropdown menu and select Transfer.
You can view the tickets in the Transfer pipeline in either board view or list view to track the progress, status, and assignments of requests.
Transfer Pipeline Stages Overview
Below are the pipeline stages and a high-level explanation of their functions:
- In Review: Newly submitted tickets enter this stage for Portfolio Manager review. The ticket information is verified for accuracy, and the request is assessed for appropriateness.
- Trade Processing: If the transfer is in cash and the account lacks sufficient funds, the ticket advances to this stage. Trades are executed to generate the required cash, and once settlement is confirmed, the ticket moves forward.
- In Process: Approved tickets proceed to this stage, where the money movement team processes the request according to the provided instructions. In-kind transfers bypass trade processing and move directly to this phase, as no trading is required.
- Completed: Tickets in this stage have been fully processed, indicating that the request has been successfully completed.
Expected Timelines & SLAs
- Cash Transfer: In-Kind, typically 2-3 business days and Cash, typically 7-11 business days.
- Security Transfer: Typically 4 business days after the ticket has been submitted and completed any applicable review.
- Cash Transfer (Third Party): Typically 7-11 business days after the ticket has been submitted and completed any applicable review.
- Security Transfer (Third Party): Typically 4 business days after the ticket has been submitted.
How to Track a Plans Ticket
Where to Find the Plans Pipeline
To access the pipeline and track the status of submitted requests:
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Navigate to the ticket index page:
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In the CRM, navigate to CRM > Tickets
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To view the Plans pipeline, click the pipeline dropdown menu and select Plans.
You can view the tickets in the Plans pipeline in either board view or list view to track the progress, status, and assignments of requests.
Plans Pipeline Stages Overview
Below are the pipeline stages and a high-level explanation of their functions:
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In Review: Newly submitted tickets enter this stage for Portfolio Manager review. Here, the ticket details are verified for accuracy, and the instructions are assessed for appropriateness before proceeding.
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In Process: Once approved, tickets advance to this stage, where the money movement team processes the request according to the specified instructions.
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Completed: Tickets in this stage indicate that the request has been fully processed, and the funds have been successfully transferred to the client’s account. No further action is required.
Expected Timelines & SLAs
- PAC and SWP: Typically 1-2 business days after the ticket has been submitted and completed any applicable review.
- RIF and LIF: Typically 1-2 business days after the ticket has been submitted and completed any applicable review.
Best Practices to Track & Follow-Up on Requests
To ensure timely processing and resolution of service requests:
- Track requests regularly to stay updated on progress.
- Set reminders or follow-up tasks to check on pending requests.
- Provide complete information to avoid unnecessary delays.
- Communicate with clients proactively if a request is taking longer than expected.
- Escalate urgent cases if processing times exceed standard SLAs.