Create and track a paraplanning request
Register an SOA request, assign the work and track its review status in the Paraplanning Dashboard. Keep the request details and supporting documents current as the work moves through your practice's review process.
Before you start
Sign in to Finley with the correct client, due date, adviser and intended paraplanner identified.
Have the relevant request or SOA document ready if it is to be uploaded, and confirm who should share the record.
1. Start the request
In the top bar, select Add New, then New SOA Request. The Add SOA window opens. In Client Name, enter at least two characters and select the matching client. Check the adviser and practice shown in the search result, then review the Adviser selection populated from that client.
2. Set the brief and responsibility
Review Due Date, which initially uses today's date, and choose the intended deadline. Select SOA Type. Review Adviser, select the paraplanner under Assign To and choose the relevant Checklist where your practice requires one. Under SOA Doc, use Click to upload SOA or Request to attach the appropriate file. Select only the intended colleagues under Shared User.
3. Create and check the record
Select Add SOA and wait for SOA Details to open. Confirm the client, adviser, assignment, type and displayed date against the intended request. If the displayed Date or SOA Date differs from the Due Date you entered, resolve the discrepancy before relying on it as a deadline. Creating the request requires a client name, due date and SOA type. Review the attached file and sharing choices carefully before continuing.
4. Track the request through review
In the Projects menu, select Paraplanning Requests to open the Paraplanning Dashboard. Use Search by client, SOA Status, Filter by paraplanner and Filter by adviser to find work. Select a request row to open SOA Details. Update Status to reflect the stage reached, such as In Progress, Adviser Review, Awaiting Changes or Compliance Review. Use Approved or Declined only when the corresponding decision has been made under your practice's process.
5. Keep details and comments current
On SOA Details, changes to Adviser Name, Assigned To, Date, Type, Status and Paid save when changed. Selecting a new SOA Doc or SARA Report file also starts a save. Make one change at a time and wait for Changes saved. To record a question or handover, enter text under Comments, optionally choose Add Attachments, then select Add Comment and check for Comment added.
6. Review the register
Return to Paraplanning Requests to check the row's assignment and status. Use Page Size, Previous and Next for longer lists. If you need a spreadsheet register, apply the desired filters and select Download SOA's. The download contains request details such as client, adviser, SOA type, status and assigned paraplanner in an Excel workbook.
Check before you finish
SOA Details opens for the intended client with the correct adviser, assignment, type and date.
Each change has a save confirmation and remains correct when the record is reopened.
The dashboard reflects the intended review status. Treat approval statuses as recorded workflow decisions that still require the practice's actual review.
If something does not work
Add SOA will not complete: check Client Name, Due Date and SOA Type, then read any error shown in the form.
The message says the SOA was created but no ID was returned: search the dashboard before submitting again to avoid a duplicate.
A request is missing: clear filters and inspect other pages. Ask your administrator to check access if it remains unavailable.
A save error appears: reopen the record and inspect the saved value before making further changes. A visible edited value alone is not a save confirmation.