As an independent financial professional, you have to wear several hats that contribute to the growth and stability of your firm. One of the easier tasks to outsource is your firm’s administration and compliance functions. The ideal solution is an OSJ (Office of Supervisory Jurisdiction) fully staffed to assist you with that oversight and administrative duties. Consider this: the more work you can hand off to the OSJ, the more time you should have to focus on your marketing efforts to grow your firm. 

But what about your marketing efforts? Did you know OSJs can be coaches, consultants, and mentors for your marketing efforts?  

The focus of this article is to describe the various ways the right OSJ can assist with enhancing your marketing results. 

OSJ Compliance Oversight 

An OSJ operates as a liaison office affiliated with a broker-dealer that is responsible for supervising the activities of independent financial professionals.

Think of an OSJ as a compliance hub for all financial services and marketing campaigns you run. One of the OSJ’s most important roles is ensuring you adhere to the industry’s regulations.

OSJ Marketing Support

You may think of an OSJ as a source of compliance and administration-related services. This would be a fair assumption, but increasing numbers of OSJ are also providing marketing services that can impact the results of the financial professionals in their networks.

Not every OSJ may provide these services, so it pays to ask as you conduct your due diligence on an OSJ office.

Targeted Client Demographics Analysis 

OSJs can offer valuable prospecting and demographic analysis data using sophisticated technology platforms. This expertise enables you to develop more personalized and effective marketing communication and follow-up strategies.

For example, an OSJ can provide specific demographic data that helps your firm market to your target audiences more effectively. You may have limited marketing resources and budget, so the services of the OSJs can be particularly helpful.   

Understanding the preferences and needs of different demographics can assist you in crafting highly personalized marketing campaigns based on prospects’ needs, concerns, and goals. 

Regulatory Compliance and Oversight

We can’t ignore one of the key roles of all OSJs: reviewing and approving all marketing communications you create. This process ensures that all content, whether for your website, brochures, social media posts, emails, or other promotional materials, is accurate and compliant with all industry regulations. 

Working with an OSJ can assist you in minimizing risks associated with compliance violations or legal issues that may arise from client complaints. 

An OSJ allows you to focus more on winning new clients and providing planning, investment, and risk management services to current clients. 

Marketing Coaching and Consulting

Another way that an OSJ can assist you with your marketing efforts is to serve as a coach and consultant. Given the backgrounds of the OSJ team, many have specific marketing backgrounds so that they can serve as a sounding board for your ideas.

They may also assist with fine-tuning your marketing message to ensure it’s on point with the demographic you are marketing your services to.  

You have one opportunity to make the right first impression. An OSJ partner can assist you with this process. 

Shared Knowledge and Best Practice

When you partner with an OSJ, you get the combined wisdom of a team of experienced financial professionals. You benefit when you have access to the knowledge and best marketing practices that help you accelerate your firm’s growth.

About Evolution Financial Advisors

Our mission at Evolution Financial Advisors is to enhance how independent financial professionals grow their firms. We founded our organization on five key principles: independence, focus, exceptional service, community, and top-tier practices.

Today, these principles remain at the heart of what we do, guiding our efforts to help financial professionals pursue their goals. Our efforts provide significant value for independent financial professionals who depend on us to help them build and manage their firms.

Our firm is structured to support financial professionals near our home office in Western New York and throughout the United States. 
Are you ready to learn more about OSJ’s marketing services?  Let’s connect for an introductory conversation.

Large Enterprise/OSJ
Chris Virgil

More about the author: Chris Virgil

Chris is the assistant vice president at Evolution Financial Advisors. He works to help advisors grow their businesses and gain a sense of freedom. Chris is a business and behavioral coach working with existing EFA financial professionals to create a more fulfilling practice, streamline operations, and enhance client experience.