The OSJ Services at CFS and SPF are grounded in 3 elemental focus areas; Supervision, Support, and Service. While satisfying the regulatory mandates of supervising the business activities of producing registered representatives, the distinguishing characteristics that separate our OSJ services from other broker dealers is our unrelenting focus on Support and Service. It is the goal of each Branch Supervisor to create a partnership with the representative…to learn his or her business activities in detail such that the representative and supervisor can effectively communicate in order to support business and sales in an efficient, compliant manner.
One aspect that rarely goes unnoticed is the volume of business that the Branch Supervisors see on a day to day basis. This, along with the diversity of the programs we supervise, provides a fantastic opportunity for discussion with representatives. The OSJ Supervisors become a tremendous resource in this regard and they can act as a sounding board on potential trades, concerns and best practices.
Another aspect is that through this volume of business, the Branch Supervisor is able to keep a very accurate pulse on what is trending in the industry in terms of product opportunities and challenges as well as regulatory hot-button issues. When this is communicated back to the representative by way of practical trade by trade, day by day dialogue, it is often seen that the representative becomes far more efficient and productive.
You can count on your Supervisor to be pro-active in understanding your business and be an advocate for your success.
By Rick Dahl,
EVP, CFS and SPF
Chief Compliance Officer, SPF