Compliance & Operations

Compliance & Operations

Our Compliance and Operations team is a core component of The Financial Services Network and comprises a group of highly experienced compliance professionals. As a Network advisor, you receive a dedicated Compliance Supervisor to serve as your liaison for all compliance and
operational matters.

Compliance Supervisors and team members hold the FINRA Series 4, 7, 9, 10, 24, 53 and 65* (or equivalent) securities registrations and act as an extension or delegate of the OSJ Manager. Your Compliance Supervisor is a one-stop resource for you to leverage in your efforts to keep your business in line with all rules and regulations.

Our comprehensive compliance and operations support includes the approval of new business,
suitability review of investment transactions, admin training, assistance with escalated matters within your broker-dealer and overall supervision of your advisory practice.