When getting started with Compliance, uploading your investment objectives is a crucial step to ensuring your team has the data needed to search, sort, and filter through households.
In this article:
- Downloading the Investment Objective File Template
- Filling Out the Template
- Uploading the Completed Template
Downloading the Investment Objective File Template
To download the Investment Objective File Template, navigate to Settings in the top right-hand corner of Compliance. Scroll down to the Investment Objective Range section and select Households.
Next, click the Download Template button to establish the correct format and sample custodian values in your draft CSV.
Note: Sample data will dynamically appear based on the custodian(s) sending data to your instance of Compliance. If no data is available from custodians at the time you download the template, no sample data will be included. If you need to add mappings for additional custodians, please use the custodian naming convention provided below.)
Filling Out the Template
The template has three required fields:
- household id
- objective id
- objective name
Note: Refer to your household import file to ensure all households are included in the investment objective upload file.
1. Copy the household ids from the household import file into Column A of your investment objective file.
2. Enter the corresponding investment objective name in Column C for each household.
3. If your custodian does not expose a system identifier for investment objectives, please copy the investment objective names from Column C into Column B.
Uploading the Completed Template
Once you are ready to upload, navigate back to the settings page and drop your file into the uploader.
You will see a confirmation alert confirming whether your document was formatted correctly. If an error shows, you will need to edit the document and upload it again.
If a success indicator shows, you are all set! Your objectives will be incorporated into your household data during the next overnight load and alignment statuses for all your households will be visible in the table view the next business day.
Note: All investment objective files uploaded into Compliance are cumulative additions to the platform. This means you can upload multiple investment objective files covering different households. Each one does not need to cover every household within a domain, and a household's objective will only be overwritten if that household is present in a new file.
Note: You must only include field data for completed rows. Any incomplete rows will not be accepted.