Adviser Pre-vetting Guide
Follow this instructional guide on how to use the SARA app to pre-vet your SOA.
What is SARA?
SARA is an AI powered Statement of Advice Review Assistant. You can use SARA to pre-vet your SOA, before presenting to your client.
Uploading your SOA is simple. Once uploaded, the SARA App will provide the review findings for your assessment. But like any AI Assistant, the findings still needs to be reviewed for accuracy.
You can learn more by watching our SARA Explainer video: https://www.youtube.com/watch?v=1nH1W1rILv8
Step 1: Create New SOA Request
Action Required: Select Add New, and then ‘New SOA Request’.
Fill out the details of the SOA Request Popup.
Step 2. Send the SOA to SARA
Action Required: Select ‘Send to SARA’.
Fill out the details of the SARA review, and upload your SOA.
You can refer to the video link for more instuctions on uploading an SOA to SARA: https://youtu.be/rQVbklT_X9Q
Step 3: View SARA
Once you have sent the SOA to SARA, the button will change to ‘View SARA.
Action Required: You can click ‘View SARA’ to open up the SARA Wizard. Note: It will take approximately 5 mins for the SARA review to be fully completed
Step 4: Assessing the SARA responses
You can assess the responses from SARA in the review wizard.
Action Required: Read the responses from SARA and cross check SARA’s findings with the SOA.
Did the customer file pass or fail this step? Why/Why not?
Based on the response, SARA will determine whether the customer files passes or fails each check.
You can refer to the assessment guide on the link below for more detailed information on the assessment of each step.
What happens when i receive a ‘Pass’?
Action Required: If SARA has identified that the file passes the relevant check, you can mark the check as ‘Pass’, and move to the next check.
What happens when i receive a ‘Fail’?
Action Required: If SARA has identified that the file fails the relevant check, you can mark the check as ‘Fail’
An ‘Adviser Comments’ input will appear. If you feel that the advice is appropriate, you are able to make a comment on why the advice remains appropriate.
Action Required: Change the SOA Status in the Projects App to ‘Compliance Review’, and your Compliance Manager will review the file.
You can continue to complete the SARA wizard.
What happens when i receive a ‘Not applicable’?
Action Required: If SARA has identified that the relevant check is Not Applicable, you can mark the check as ‘Not Applicable’, and move to the next check.
Step 5: Print Compliance Report
Action Required: At the completion of the wizard, click the ‘Print’ button to download the Compliance Report
Action Required: PDF the final downloaded Compliance Report
Step 6: Upload the Compliance Report to Projects
Actions Required: Upload the Compliance Report to the SOA Audit in the Projects App.
Actions Required: If the SOA passed all complaince checks, you can mark the SOA Status as ‘Approved’.
If your SOA did not pass all checks and needs a review from the Compliance Manager, simply mark the status as ‘Compliance Review’.
Do you need any further assistance?
If you need any assistance or something just doesn’t look right, you can raise a support request in the iC2 Suport Tickets App.