Pandia


SCHEDULING & REFERRAL TRACKING
Broker’s activity is structured and managed

Using Pandia broker scheduling:

  • Broker’s scheduling and tracking duties are streamlined, resulting in more time with customers.
  • Customer leaves branch with a confirmed appointment, eliminating follow-up phone calls.
  • Branch employees are empowered to make referral appointments. Referral credit is automatically tracked from initial appointments to final sale.
  • Management has the ability to inspect broker activity, increasing broker accountability.


CLIENT FOCUS
Access client information online using Pandia client focus, a CRM tool.

With client focus:

  • Customer transactions and balances are available to view real time in a uniform and consistent manner.
  • A number of search parameters are available to identify individual customers and specific groups. Brokers and the back office can “mine” customer data.
  • View brokerage accounts, annuity accounts, and fund-direct mutual fund accounts – together. Examine customer accounts selectively by time period, dollar range, or transaction type.
  • You have access to all available customer detail. Look at customer account details, including notes, pending activity, and scanned documents.


DOCUMENT MANAGEMENT

Capabilities provided by comprehensive document management enable:

  • Scanning & Processing
  • Comprehensive procedures and tools for efficient scanning and document processing.
  • Routing
  • Workflow routes paperwork to proper parties for approval and processing and tracks its progress.
  • Secure Storage
  • Images are archived on WORM Media to provide SEC Electronic Storage of Records compliance.


CUSTOMER SERVICE & WORKFLOW
Pandia users are able to enhance customer service and workflow.

Work requests:

  • Create and track work requests.
  • Accommodate both customer service and internal work requests.
  • Work requests can have simple or complex routing… a simple address change request, or a dimples request routed to multiple people and departments.

Statistical Tracking:

  • Start to finish event time stamping
  • Records all who “touched” an item.
  • Management tracking and approval of work requests.

System Generated Correspondence:
Handles all these and more:

  • Books and Records letters.
  • Address and Name Change letters.
  • Carrier Broker and Branch Update letters.


ORDER ENTRY & TRADE MANAGEMENT
Realize new back office efficiencies.

  • Maintain all aspects of a trade: Sales amount, commission, product, broker, branch referrer, and more.
  • Handle all types of trades via one location: (Brokerage, Annuity, Fund Direct Mutual Fund, Insurance, etc.)
  • Enter new trades and make additional purchases and existing trades.
  • Enforce commission capping rules systematically.


MANAGEMENT REPORTING

Data from your management reporting tool helps to form the core of your operations. Pandia’s comprehensive reporting provides you with vital, timely information to manage your business, from referral to sale to commission….from broker to branch office to full production reports. You can get a summary, a snapshot of the day’s sales activity or you can call up a complete month-to-date detailing of every trade by every broker in every office that includes analysis of referral and revenues to help you to optimize performance.

Management reporting from Pandia typically includes a number of reports with additional customized reports available as needed.

  • Production Report
  • Broker Activity Report
  • Branch Activity Report
  • Employee Lead Report
  • Daily Sales Log
  • Cross Referral Report


GENERAL LEDGER
With Pandia companies can accurately track and report revenue and commission expense daily.

  • Classes of revenue are posted to specific accounts based on your rules.
  • Revenue and changes in revenue are tracked on a per transaction basis.
  • Summarized general ledger entries are red to the bank ledger system daily.


COMMISSION & COMPENSATION REPORTING

Commission and compensation reporting is the cornerstone of the relationship between sales and operations. Do it well and the professionals in the field will be your biggest supporter. Pandia’s commission and payroll reporting is a smooth, accurate and efficient process that is easy to navigate. Whether it is brokerage transactions, fund direct mutual funds, annuities, insurance or other transactions, Pandia calculates commissions and accurately manages compensation record keeping. It is all in one place so adjustments are easy and your brokers, sales associates and sales managers can get real time data.


SUITABILITY & TRADE COMPLIANCE
Gain trade oversight and compliance with Pandia.

Pandia provides a suite of compliance reports and exceptions:

  • (B-Share, Blue Sky, Breakpoint, Business Concentration, etc.)
  • Online Trade Blotter and Compliance Report reviews are tracked electronically.
  • Pandia payroll enforces licensing rules for paying commissions.