OSJ Services

Your Partner for Compliance and Operations Support

Compliance

Streamlining compliance and backstage operations so you can concentrate on what you do best.

In today’s environment with the constant change in rules and regulations, it is more important than ever to have a partner by your side to help you navigate through the changing landscape.  As our network’s dedicated Chief Compliance Officer and OSJ Delegate, Colby Cypriano and her team have built systems and processes to support you in this area. Viewing compliance as our industry’s version of what other industries might call their “safety program”, we host regular network update calls for both you and your team members to proactively provide guidance on the industry’s newest developments.

Our Compliance Service Standards

Prompt

Process paperwork you send us or communicate with your office within one business day of receipt to insure timely processing and follow-through of time sensitive client paperwork.

Proactive

The best defense is a good offense. Staying on top of industry trends, best practices and new rules and requirements in order to adjust work flows and processes and keep you abreast of important developments ahead of the curve.

Protective

Thorough and comprehensive review of client business you submit considering the various angles and aspects that will protect both you and your clients from future misunderstandings and miscommunications.  The key aspect of this standard is thorough documentation of recommendations and advice for both new and existing client accounts and reviews, detailing the reasoning and suitability behind your recommendations.

Ethical

Simply put, doing the right thing by you and your clients and doing things the right way and within the guidelines and rules of our industry.

Operations Support

You Don’t Have to Go It Alone

As your business grows one of the challenges is finding the free time to continually focus on what you do best: develop and nurture trusted relationships with your clients and prospects. Most advisors do not enter this profession looking to manage a team of people, but out of necessity for growth the inevitable happens. At the Horizon Advisor Network we have the experience and knowledge to help you put the right people and systems in place to efficiently run your practice. From developing job descriptions and communicating long term career paths to maximizing technology and workflows, we have the resources to help you create an infrastructure for the future.

Cetera Liaison

A Strong Partnership

Although your practice may be substantial, connecting it with the scale and scope of a larger enterprise immediately makes your business more valuable and you’ll find it easier to get the time and attention you deserve from the companies you work with. The Horizon Advisor Network enjoys a strong relationship and spirit of partnership with the leadership and operations teams at Cetera Advisors. Collectively, this gives us timely access to resources, guidance and advice that most individual advisors cannot access on their own.

Any stage of your career, any size firm–let us help you take the next steps.

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