How to complete the Compliance Workflow in Mercury Nexus – Connective Wiki

The Compliance Workflow makes note taking and documenting evidence quick and simple, and helps you to meet your BID obligations.

Completing the Workflow

The Compliance Workflow is accessible in the left hand menu of the Opportunity record. There are six headings which address your regulatory obligations.

The Compliance Workflow will pre-populate with information from your records. You then assign your evidence against the pre-populated entries.

The following items can be assigned as evidence.

Notes
Attachments
Questionnaires
Financials Information
Calculations (Funding Position and Product Comparison)
Identification (from the Contact record)

Identification and Employment information captured in the Contact record will populate the Know Your Customer heading in the Compliance Workflow.

There are three methods which evidence can be attached.

Utilize the Assign as Evidence button
Assign Evidence Icons
+ Evidence button in the Compliance workflow

Using the Assign as Evidence button

The following sections contain the Assign as Evidence button.

Notes
Attachments
Questionnaires
Calculations

Select the item and click the Assign as Evidence button.

You can select the heading which the note is related to and add comments. Click Assign to finish or Assign & Assign to another to link the same item to another evidence heading.

The item will then appear in the Compliance section of the Opportunity under that heading.

Assign Evidence icon

The following sections contain the Assign Evidence icon.

Contact Identification
Contact Employment
Financials Information

Using the Assign Evidence icon

Click the green icon on the item you want to assign evidence for.

You can select the Evidence from the list of items which appear in the left hand panel. Add comments about the evidence in the Comments section on the right hand side and click Update to finish.

Note: Evidence is able to be assigned from your opportunity attachments