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Overview

Navigation

Creating a New Expert Consultant Approval Request

Overview

Users can create an approval request for an expert consultant approval request. The approval request will be forwarded to a Compliance Officer for approval.

Navigation

1. From the Home screen, click the Home dropdown menu.

Home Menu

2. Click the Employee Portal link.

Employee Portal Link

3. From the Personal Trading screen, click the Approval Requests tab.

Approval Requests Tab

4. From the Approval Requests screen, click the + New Approval Request button.

+ New Approval Request Button

Creating a New Expert Consultant Approval Request

1. From the Create a New Approval screen, click the Vendor Approval radio button from the Approval Type field.

Approval Type Field

2. Click the Next button.

Next Button

3. Enter the expert consultant's name in the Expert Consultant Name field.

Expert Consultant Name Field

4. Select the type of consultant from the Expert Network/Independent Consultant field by clicking one of the radio buttons. If the user selects Expert Network, the user must select an approved vendor.
   • Expert Network
   • Independent Consultant

Expert Network/Independent Consultant Field

5. (Optional) If Expert Network is selected in the Expert Network/Independent Consultant field, click the Add Existing Expert Network link and select an approved vendor from the list by clicking the +Add link on the Add Existing Expert Network pop-up. 

+Add Link

6. Enter the target investment company or sector name in the Target Investment Company/Sector field.

Target Investment Company/Sector Field

7. Select an option to the question Has the expert consultant worked for the target company/sector?
8. Select an option to the question Have you spoken to this expert consultant before?
9. Select an option to the question Has the expert consultant worked for a publicly traded company? 

Question Fields

10. Enter any additional information regarding the expert consultant approval in the Please provide any additional information relating to this request that may assist in securing approval field.

Please provide any additional information relating to this request that may assist in securing approval Field

11. Include support documentation by dragging and dropping files into the designated area on the Consultant's Employee History/Supporting Documentation field, or select the top proportion of the Consultant's Employee History/Supporting Documentation field and select a file from the connected PC.

Consultant's Employee History/Supporting Documentation Field

12. Click the designated area on the Consultant's Employee History/Supporting Documentation field to add a web link. For more information on adding a web link to the project, see the Adding a Web Link article.

Web Link

13. (Optional) Click the following icons to edit or delete an image from the request:
    • Edit: Click the Edit icon to rename the file.
    • Delete: Click the Delete icon to remove the file from the request.

Image Icons

14. Enter a keyword in the Employee field and select your name from the dropdown menu. Entering your name indicates you acknowledge all policies and laws pertaining to this action.

Employee Field

15. Click the Submit button to send the request to a Compliance Officer. 

Submit Button

16. The Compliance Officer will receive an email notification indicating a request requires action.

Notification

17. Click the Cancel button to cancel the request and return to the previous screen. Compliance Officers will not see a cancelled request.