After submitting an Initiate a Transfer request, a ticket is created in the Add Funds pipeline. Use this guide to effectively track each stage, understand the workflow, and quickly address rejections.
How to Find Initiate a Transfer Ticket
You can find your submitted Initiate a Transfer ticket in two places:
- The right-side panel under Tickets on the Client’s CRM Contact Record
- In the Add Funds Pipeline (CRM → Tickets → Add Funds Pipeline)
Initiate a Transfer Workflow and Pipeline Stages
Below is the typical workflow an Initiate a Transfer ticket follows, outlining the various stages of the process, the roles responsible for each task, the specific actions being taken at each step, and the expected timelines for completion.
In Review
- When required: If submitted by someone other than the assigned Portfolio Manager.
- Assigned to: Portfolio Manager
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What’s happening: Ensuring suitability of instructions.
- SLA: Same-day
- Next Step: Moves to Pending Action (In Process) upon approval.
In Process
Action Item: Pending Action
- Assigned to: Money Movement team
- What’s happening: Transmitting instructions to the custodian back-office system.
- SLA: Within 24 hours
- Next Step: Moves to Transmitted upon completion.
Action Item: Transmitted
- Assigned to: Money Movement team (Quality assurance review)
- What’s happening: Confirming transmitted instructions are correct.
-
SLA: Same-day
- Next Step: Moves to Pending Confirmation upon verification.
Action Item: Pending Confirmation
- Assigned to: Money Movement team (original submitter)
- What’s happening: Confirming funds are successfully received.
- SLA: 1–2 business days
- Next Step: Moves to Completed upon confirmation.
Completed
• What’s happening: Ticket is closed and finalized. No further action required.
Handling Rejected Initiate a Transfer Requests
If your request is rejected, the ticket will clearly indicate why. Common rejection reasons include:
- Duplicate ticket submitted (a similar request already exists or is pending
- Requested by Portfolio Manager (unsuitable instructions or client-related issue)
- Requested by Wealth Planner (compliance or client-suitability issue)
- Transfer form missing Docusign certificate (not wet-signed)
If your request was rejected, resolve the noted issue, then submit a new Initiate a Transfer request.
Tracking Your Ticket & Next Steps
Monitor progress regularly through pipeline stages outlined above. If you’re responsible for actioning tickets, see:
- How to Action Tickets