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  • Sales Representative Workflow - PD

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    Dimas Batam
    36 views1 page
    The document outlines the sales representative workflow which involves multiple stages. It begins with the business sponsor initiating due diligence by completing a questionnaire and certification. This is then reviewed by LCR Stage 1 who may request additional information from the third party. Multiple parties then review the information, complete additional checks, and certify the third party, with the CCO providing final approval. The process involves compliance reviews, restricted party screening, and risk mitigation if needed before a third party can be approved.

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    Sales_Representative_Workflow.pd

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    The document outlines the sales representative workflow which involves multiple stages. It begins with the business sponsor initiating due diligence by completing a questionnaire and certification. This is then reviewed by LCR Stage 1 who may request additional information from the third party. Multiple parties then review the information, complete additional checks, and certify the third party, with the CCO providing final approval. The process involves compliance reviews, restricted party screening, and risk mitigation if needed before a third party can be approved.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Flag for inappropriate content
    36 views1 page

    Sales Representative Workflow - PD

    Uploaded by

    Dimas Batam
    The document outlines the sales representative workflow which involves multiple stages. It begins with the business sponsor initiating due diligence by completing a questionnaire and certification. This is then reviewed by LCR Stage 1 who may request additional information from the third party. Multiple parties then review the information, complete additional checks, and certify the third party, with the CCO providing final approval. The process involves compliance reviews, restricted party screening, and risk mitigation if needed before a third party can be approved.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Flag for inappropriate content
    of 1

    Sales Representative Workflow

    Creates the 3P and Manually Completes


    Business
    Sponsor

    completes Initiation Initiation of Due Diligence


    of Due Diligence Questionnaire and
    Questionnaire and certification and emails to
    certification LCR Stage 1

    - Approves Initiation - Reviews Questionnaire and TPIA Report


    Emails the Creates the 3P of Due Diligence - Uploads Restricted Party Screening
    LCR Stage 1

    Assigns the Initiation Initiation of Due and assigns the Questionnaire Results Rejects 3P in
    Is Business of Due Diligence Diligence Initiation of Due - Creates 3P User Requests TPIA - Checks for proof of training completion Is Sales Rep ComplianceDesktop;
    sponsor from No Questionnaire to Questionnaire to Diligence No
    - Assigns 3P report - Completes Certification Approved? internal parties
    CB&I? Business Sponsor in Business Sponsor Questionnaire to Questionnaire - Resolves any Red Flags notified.
    ComplianceDesktop to complete themself to -Conducts Restricted - Approves/rejects 3P in
    manually complete Party Screening ComplianceDesktop
    Yes
    Third Party

    - Completes Questionnaire
    Receives an email with
    - Completes PEP Letter if applicable
    link to the questionnaire
    - Completes Ethics training
    and Ethics training
    - Uploads evidence of Ethics training
    Red Flag
    Group

    Completes
    TPIA report.

    Yes
    Designated Legal

    - Reviews Questionnaire
    - Completes Interview Report
    Manager

    Rejects 3P in
    - Finalize contract terms Is Sales Rep
    NO ComplianceDesktop;
    - Completes Certification Approved?
    internal parties notified.
    - Approves/rejects 3P in
    ComplianceDesktop

    YES
    Area VP

    - Reviews Questionnaire
    Rejects 3P in
    - Completes certification Is Sales Rep
    No ComplianceDesktop;
    -Approves/rejects 3P in Approved?
    internal parties notified.
    ComplianceDesktop

    Yes

    - Reviews Questionnaire
    - Completes Certification Is Sales Rep Approves 3P in
    YES ComplianceDesktop; internal
    - Approves/rejects 3P in approved?
    ComplianceDesktop parties notified.

    NO YES

    Rejects 3P in
    CCO

    Is Sales Rep approved


    NO ComplianceDesktop; internal
    with Risk Mitigation?
    parties notified.

    YES

    Engages Executive Review for Approves completion


    of Risk Mitigation Is Sales Rep Rejects 3P in
    Risk Mitigation, if necessary; YES NO ComplianceDesktop; internal
    assigns Risk Mitigation tasks in tasks in approved?
    ComplianceDesktop. parties notified.
    ComplianceDesktop.

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