⏱️ 1min
We have made the Leo onboarding process flexible to fit with you and your firm’s schedule. You can complete it in days or weeks: it’s up to you. Once you have finished onboarding, Leo provides point-and-click workflows for your daily, monthly, quarterly and annual compliance obligations.
The Leo onboarding process has two stages: Induction and Training.
Here’s a guide for the typical journey that our team will take you through to get your firm, senior managers and employees inducted to Leo:
Stage One: Induction
Before ‘going live’, you’ll need to provide your firm’s compliance-related data to our onboarding staff, so that we can process and integrate it into Leo.
This data usually includes, but is not limited to:
- Your firm’s Compliance Manual and Policies
- Most current senior managers’ roles and responsibilities
- Senior managers’ certifications
- Historical financial promotions
- Names and emails of the people at your firm who will use Leo, including:
- Compliance Officer
- MLR Officer
- Senior managers, employees, and other relevant staff who may benefit from access to Leo
- Data related to sub-clients. For example:
- Appointed Representatives (AR)
- Trading Names and/or
- Retained Clients and the people associated with them.
Stage Two: Training
Once the data you’ve provided has been integrated into Leo, we’ll train your firm’s designated staff to make the most of Leo’s functionality – including learning to administrate and edit Leo’s modules (for reports and repositories) and setting up and customising permissions for each user Group.
After training, anyone can use Leo’s Knowledge Base to find answers to common queries. When you’re logged in to Leo, access the Knowledge Base by clicking on the question mark (?) symbol at the bottom left of your Leo screen.