The Advisor Dashboard is displayed on the Compliance Dashboard drop-down list when the compliance role has been selected as “Advisor”.

Different than the other dashboard views, the Advisor Dashboard will not display the compliance event counts. Instead, it is used to view and reply to compliance review messages sent to the advisor.

Only the messages sent directly to the operator who has an advisor compliance role will be displayed on this screen. The messages sent to any other operator or advisor will not be displayed.

Information displayed will be for the oldest owner of the account if a joint account. While limited joint owner information will be presented in this view, the operator will be able to access joint owner information when the Account hyperlink is selected. This will launch the existing Account Overview screen, which provides access to all joint owners and related parties linked to the account.

The screen includes two sections: Branch Manager Inquiries and Corporate Compliance Inquiries.