Using Junxure with Schwab OpenView Gateway. October 2014

Transcription

1 Using Junxure with Schwab OpenView Gateway October

2 Using Junxure with Schwab OpenView Gateway Table of Contents Requirements...3 Enable the Integration and Enroll Users...3 Enable Schwab Advisor Center Alert Integration...6 Verify Automatically Generated Workflows...14 Populate the Junxure Accounts/Assets Tab with Account Numbers...15 Using the Integration...18 Creating Junxure Actions from Schwab OpenView Gateway Alerts

3 Requirements An Internet connection An Active Directory environment The Junxure Data Connector (JDC). Junxure Mobile and ClientView Live customers already have the JDC installed. Other customers please contact us at , opt. 3 to schedule an installation. Credentials* for accessing the Schwab Advisor Center (SAC). The latest version of Junxure (9.5 or higher). *Users must pre-register at with a User ID and Password in order to use Junxure with Schwab OpenView Gateway. Enable the Integration and Enroll Users To use Junxure with Schwab OpenView Gateway, you will need to enable the functionality available in Junxure 9.5 and later versions, enroll the user, and populate the Accounts/Assets Tab with account numbers. To enable the integration and enroll the user: In Junxure, go to Maintain System > System Options > Local Options. Note: Each user who needs access to the data will need to log in and enable the integration. Go to the Interface category. Next to Enable Schwab OpenView Gateway in the Value column, select either Enable Pin Required or Enable No Pin Required based on your authentication process requirements. (Check with your system administrator or Key Person if you do not see this option.) 3

4 Next, go to System Setup. A menu option for Schwab OpenView Gateway appears. Click on this option to verify enrollment. Note: Each user must enroll individually to access this integration. (Check with your system administrator or Key Person if you do not see this option.) The Schwab OpenView Gateway Configuration window appears. Under Current User Enrollment, click Enroll. Please note: Each authorized user must perform this enrollment process while logged into Junxure to access live data from Schwab Advisor Center (SAC). 4

5 A pop up window appears with a link to the terms and conditions of using Junxure with Schwab OpenView Gateway. Once you have reviewed the link, select the checkbox next to I agree to the terms and conditions and click OK to continue. On a separate webpage, you will be prompted to enter your Schwab Advisor Center (SAC) credentials and to review and accept a license agreement. Click Subscribe. It may take 5-10 minutes for the enrollment process to complete on SAC. 5

6 To verify that the user has been enrolled, wait at least 10 minutes before returning to the System Setup > Schwab OpenView Gateway menu. Under Current User Enrollment, the text (in green) will indicate that the logged in user is enrolled to use Junxure with Schwab OpenView Gateway. Note: If a user changes Schwab Advisor Center credentials, in Junxure, go to System Setup > Schwab OpenView Gateway and click Re-Enroll to update the user s information. You have successfully enabled the integration and enrolled the user for Junxure with Schwab OpenView Gateway. Enable Schwab Advisor Center Alert Integration The Schwab Advisor Center Alert integration can be set up to regularly check SAC for alerts based on your preferences. These alerts may also be set to generate an Action or Action Sequence automatically in Junxure. On the Schwab OpenView Gateway Configuration window under Schwab Advisor Center Alert Integration, click Setup Alerts Integration. 6

7 A setup window appears outlining the six steps to enable the alerts integration. Click Next to continue. Step one is to set user rights for who can change settings in the alert integration. The default setting is <Everyone>; use the drop down menus to select the appropriate Employee Group authorized to use the alert integration and to enable SAC alert types. Click Next to continue. 7

8 Step two is to enroll an SAC User Account that may access all firm alerts. Creating a specific SAC login is recommended to capture all alerts in one central account. Check with your firm s SAC administrator to have this account created. The login should be able to access all alerts but does not require trading privileges. Note: Please do not use a one-time password device or account; doing so will cause the Alerts integration to stop functioning once it expires or times out. Click Enroll and enter the User ID and Password for this account into the separate login window. Select the checkbox to accept the User Agreement, then click Subscribe. Once the SAC User Account is enrolled, close the popup browser. On the Schwab OpenView Gateway Configuration window, click Next to continue. Step 3 is to select options for alerts that do not have matched accounts in Junxure. Using the search option/drop down menus, select: A Contact Record that should receive any SAC alerts that do not have a matched account number in Junxure (some firms set up an Office record for this purpose). A person in your firm who should have unmatched SAC alerts assigned to them. A person in your firm who should have Actions that are not matched to a workflow assigned to them. 8

9 Click Next to continue. Step 4 is to download sample workflows. Please note: this is an optional step and may be completed at a later time. Click Download Sample Workflows. A popup will confirm that you wish to download the workflows. Click Yes to continue, and No to cancel. Click Preview to view an online resource of what will be imported into Junxure. If you clicked Yes, the workflows will be downloaded and added to Junxure. They are available from within a Contact Record using the Add Action button and will appear under the SAC Alerts category. To edit these templates, in Junxure go to System Setup > List Data Maintenance > Actions > Action Templates and System Setup > Action Sequence Setup. Click OK on the popup, then click Next to continue. 9

10 Step five is to match SAC Alert Types to Junxure Action Types and Action Sequences. Click Match Alerts. An Integration Alert List appears in a separate window. This grid lists all alert types and their assigned actions. 10

11 To Use the Integration List: The grid displays four columns: Alert Description, Alert Type, Ignore and Assigned Action. By default, all alert types are turned off with an Ignore setting checked in that column. To match your chosen alert types to Junxure Actions and Action Sequences, under the Assigned Action column, select Click to setup this Alert Type to launch the Select Action Templates or Action Sequence window. Use the radio buttons and drop down menus on this screen to select the appropriate Junxure Action Template or Action Sequence for this alert. Click OK to save. (Examples of a chosen Action Template and Action Sequence appear below.) 11

12 Continue to match alerts to your selected Actions and Action Sequences. Close the Integration Alert List when you are done. The final step is to enable the alert integration. Click Enable to start the automatic processes that will create workflow from your selected Alert Types. 12

13 Once you have completed the alert integration, you can modify your settings on the Schwab OpenView Gateway Configuration screen by clicking Modify Current Settings. To disable the SAC Alert Integration: Return to System Setup > Schwab Openview Gateway and click on Modify Current Settings under the Schwab Advisor Center Alert Integration section. At the bottom of the popup window, select the Disable SAC Alerts Integration checkbox. 13

14 Verify Automatically Generated Workflows After enabling the SAC Alert integration, Junxure will regularly check SAC for new alerts whenever users are logged in. To verify actions that are being created from the SAC alerts integration, go to People > Actions By Date. In the Date Range section, choose a Start Date and End Date. Under the View section, choose Actions from Custodial Alerts. You may also apply a rule to this report if you would like to further filter your data. 14

15 You may also generate a printable report using Print> Actions from Custodial Alerts Use this report to verify that your SAC Alerts are automatically generating the workflows you specified. Populate the Junxure Accounts/Assets Tab with Account Numbers To use Junxure with Schwab OpenView Gateway, client account numbers must be listed in Junxure on the Accounts/Assets Tab. Note: If you are already importing account numbers from one of our Asset Import Wizards, this step is not required. Once you click Import Accounts from SAC on the Schwab OpenView Gateway configuration window, a second window appears, giving users the option to view either all accounts or only those added since the last update. Select one option and click Get Accounts. 15

16 Based on your selection, you will be presented with a list of account numbers that are not already listed on a contact record in Junxure. Use this list to add these accounts to the appropriate client record in Junxure. SAC Account Numbers Not in Junxure: Adding Accounts: To add accounts to a client record in Junxure from the list above, from the top right menu, click Add Accounts > Add by Client or Add Accounts > Add by SSN 16

17 Add by SSN - will attempt an auto-match to accounts numbers by locating a client s SSN entered into both Junxure andsac. The progress of the match is displayed in the lower left hand corner of the SAC Account number import. Note: For any accounts that are not matched by Add by SSN you will need to use the Add by Client feature. Add by Client - useful if no SSN matches your search. For this option, select the account from the search results that appear in the grid and click Add Accounts > Add by Client. The Search for a Client screen opens. The search is by Last Name by default. Click the Search By drop down to search by First Name or Company. The grid will fill with contacts matching your search criteria. Double click on the client record to match the account. Once matched, that account number disappears from the grid. The imported account will now appear on the contact record s Accounts/Assets Tab. The Custodian, Account Type, and Account Description are populated from SAC for the imported account using the SAC values. You have matched accounts to a client record in Junxure. Adding Exclusions: You may have accounts in on your missing accounts list that you do not want to import into Junxure, and you would like to remove them from your missing accounts list. To exclude these accounts: 1. Select the row for the account and then click Exclusions > Exclude Selected Account. This will remove the account from your missing person list in future imports. The Label on Exclusions will increase to reflect how many accounts are excluded. 17

18 2. You may also view and edit your list of currently excluded accounts by clicking Exclusions > Edit Exclusions. 3. To include an account that has been previously excluded, select the account and click Remove Selected Exclusion. This account will now show on your missing accounts list or you can add it to a client record using the Add Account instructions in the previous section. 4. Once you finish managing your accounts, click Finish and the wizard will close. You have successfully excluded accounts from your missing account list. Using the Integration Once employees have been enabled to view the Schwab Advisor Center info, you may begin using the integration by opening a contact record and clicking on the Accounts/Assets > Accounts tab in Junxure. If a user has a Schwab Advisor Center account number and has marked the Custodian field as Charles Schwab (or any custodian for Charles Schwab, such as Schwab Bank, Schwab Institutional, etc.) then the Live Data column will have the option to View. Customizing Your Screen: The grid on the Accounts/Assets > Accounts tab displays the Account#, Live Data, and Custodian columns to appear first by default. You may drag and drop these columns to customize your screen. Note: PortfolioCenter users dashes will not appear in account numbers when pulling live data. 18

19 Clicking View on any available account will display the Schwab OpenView Gateway window. The Overview tab gives a summary of the account information and preferences. Clicking the Alerts tab will load alert data for this sub account. The grid will then populate with all alerts for the sub account. Note: The Refresh button at the top will return to and download new data for the tab you are currently using. Select a tab (Overview, Alerts, Holdings, and Transactions) and click Refresh to use this feature. 19

20 All filtering and sorting is then handled by the grid controls and sort controls visible. Double click on any row in the grid to bring up the Alert Details window Note: You may use the Archive button on the Alerts Details screen to archive the Alert in Schwab Advisor Center, just as you would archive these alerts when logged into Archived alerts will not show in the Junxure integration; only open alerts will be displayed. Clicking on the Holdings tab will return all positions. You may filter and sort data in the grid using the column header controls. Double click a row to open the Holding Details screen. 20

21 Clicking on the Transactions tab loads all transactions for the account. You may filter and sort data in the grid using the column header controls. Double Click on any row in the grid to open the Transaction Details screen. Clicking on the Account Balances tab loads all account balances for the account. 21

22 Click Buying power details for a popup that lists maximum amounts of each security type that can be traded. Click Close to return to the Account Balances screen. Clicking on the Reports tab loads all available reports (Statements, Tax Related Documents, and Trade Confirm) for the account. 22

23 To view a report, double click on a row to launch a PDF of your selected report. You may save a copy of this report and print using the menu within the PDF. Creating Junxure Actions from Schwab OpenView Gateway Alerts To create an Action from your alerts, click on the Alerts tab and choose a row from the grid. Click Add under the Junxure Action column. A separate window appears to create a single Junxure action or an Action Sequence. Complete the top portion of this screen including: Whether you would like to add an Action Template or Action Sequence Using the drop downs for the Action Templates or Action Sequence fields, if you would like to use an existing sequence or template The name of your sequence or template The Employee adding the action Keywords 23

24 You may click Add Selected Action to Client if you would like to choose a client to add the action. After you have created an action from a Schwab OpenView Gateway alert, you may return to that action from the View link on the alerts grid until that alert is archived or the action is deleted. The action now displays a View Schwab OpenView Gateway Alert Details button on the Main subtab. (This is viewable by enrolled users only.) Note: For enrolled users, actions without a link to Schwab OpenView Gateway Alerts will still display the View button above, however the functionality will be disabled. For more information, contact Junxure Support at , opt. 1, or send an to support@junxure.com. 24