Who raises, reviews, submits, trades and reconciles in a wealth management firm.
| Role | Client Instructions | Independent Review | Trading Orders | Execution Evidence | Portfolio Reconciliation | Operations Control |
|---|---|---|---|---|---|---|
| Wealth Advisor | Edit | View | Edit | — | View | Edit |
| Compliance Reviewer | Approve | Edit | — | View | — | View |
| Trading Operator | View | — | Approve | — | View | — |
| Operations Analyst | View | View | View | Edit | Approve | Edit |
| Portfolio Accountant | — | — | View | — | Edit | — |
| Admin | Edit | Edit | Edit | — | Edit | Edit |
Raises client instructions and trading orders, keeps the client mandate on file and owns each instruction to confirmation.
Starts on: Orders Awaiting Authorization
Independently reviews each submitted instruction version and records the decision to approve, reject or return it.
Starts on: Instruction Board
Authorizes advisor-reviewed trading orders against the client mandate and records executions from custodian evidence.
Starts on: Orders Awaiting Authorization
Submits authorized instructions to the provider, verifies execution evidence, approves portfolio reconciliations and resolves operation exceptions.
Starts on: Portfolio Snapshots Awaiting Approval
Loads custodian position snapshots and prepares household portfolio snapshots for reconciliation.
Starts on: Portfolio Snapshots Awaiting Approval
Maintains organizations, counterparties, instruments, trading accounts, team members and access without taking client decisions.
Start free, then use Proto to change fields, steps and approvals before your team goes live.