Office Procedures
LA & BOSTON
LOS ANGELES
OPENING THE OFFICE
OPENING THE OFFICE CHECKLISTOP3
1) Turn on lights and prop open doorOP4
2) Retrieve daily newspaperOP4
3) Turn on music and TV’SOP4
4) Turn on mail machineOP4
5) Clean kitchenOP4
6) Bake cookies, prepare coffee, and fill candy dishOP4
7) Keep reception area and conference rooms tidy throughout dayOP4
CLOSING THE OFFICE
CLOSING THE OFFICE CHECKLISTOP5
1) Clean kitchenOP6
2) Turn off mail machineOP6
3) Turn off music and TV’SOP6
4) Clean kitchenOP6
MAINTAINING CLIENT INFORMATION AND FILES
MAINTAINING CLIENT INFORMATION AND FILES CHECKLISTOP7
1) Checking out client filesOP8
2) Checking in client filesOP9
3) Paper correspondenceOP9
4) Electronic correspondence (e-mail)OP10
5) Literature requestsOP10
6) Update missing or outdated information in contact management systemOP12
CLIENT COMPLAINT
CLIENT COMPLAINT CHECKLISTOP13
1) Client notifies Advisor of complaintOP14
2) Forward complaint letter or notes to branch manager/OSJ and schedule on calendar to check status of issueOP14
3) Forward Complaint or Notes to compliance’s legal departmentOP14
4) Legal will forward a response to the advisorOP15
5) Legal sends response to clientOP15
6) Advise the branch manager/OSJ of complaint resolutionOP15
COMPLIANCE APPROVALS
COMPLIANCE APPROVALS CHECKLISTOP16
1) Prep materials for submission to complianceOP17
2) Complete broker dealer (B/D) advertising and sales literature formOP17
3) Record compliance approval tracking numberOP19
4) Retain a copy of the mailing lists for all Client event invitations and/or mass mailingsOP19
5) Compliance submissions for website changes and/or other submissionsOP19
TIME MANAGEMENT
TIME MANAGEMENT CHECKLISTOP20
1) The 6 Most Important and Vital 1™OP21
2) Team meetingsOP22
3) Annual staff retreatsOP23
4) CalendarsOP25
5) CopytalkOP25
TABLE OF CONTENTS
Resources
OFFICE PROCEDURES
Making Updates on Any Procedures
As the business evolves and expands, there will be a need to make changes or edits to the procedures listed on the backend of the website. Whenever a change or edit is needed, follow the below instructions:
-
If the change involves text directly on the website, copy and paste the existing wording from the backend page into a Word document and update the part in question. Then send it to Jack for review. Once approved by Jack, send it to Vessy to paste into the site directly.
-
If the change involves text already in a Word document, download it and make changes within the Word document. Then send it to Jack for review. Once approved by Jack, send the updated Word document to Vessy to upload to the site.
BOSTON
OPENING THE OFFICE
OPENING THE OFFICE CHECKLISTOP3
1) Turn on lights and prop open doorOP4
2) Retrieve daily newspaperOP4
3) Turn on music and TV’SOP4
4) Turn on mail machineOP4
5) Clean kitchenOP4
6) Bake cookies, prepare coffee, and fill candy dishOP4
7) Keep reception area and conference rooms tidy throughout dayOP4
CLOSING THE OFFICE
CLOSING THE OFFICE CHECKLISTOP5
1) Clean kitchenOP6
2) Turn off mail machineOP6
3) Turn off music and TV’SOP6
4) Clean kitchenOP6
MAINTAINING CLIENT INFORMATION AND FILES
MAINTAINING CLIENT INFORMATION AND FILES CHECKLISTOP7
1) Checking out client filesOP8
2) Checking in client filesOP9
3) Paper correspondenceOP9
4) Electronic correspondence (e-mail)OP10
5) Literature requestsOP10
6) Update missing or outdated information in contact management systemOP12
CLIENT COMPLAINT
CLIENT COMPLAINT CHECKLISTOP13
1) Client notifies Advisor of complaintOP14
2) Forward complaint letter or notes to branch manager/OSJ and schedule on calendar to check status of issueOP14
3) Forward Complaint or Notes to compliance’s legal departmentOP14
4) Legal will forward a response to the advisorOP15
5) Legal sends response to clientOP15
6) Advise the branch manager/OSJ of complaint resolutionOP15
COMPLIANCE APPROVALS
COMPLIANCE APPROVALS CHECKLISTOP16
1) Prep materials for submission to complianceOP17
2) Complete broker dealer (B/D) advertising and sales literature formOP17
3) Record compliance approval tracking numberOP19
4) Retain a copy of the mailing lists for all Client event invitations and/or mass mailingsOP19
5) Compliance submissions for website changes and/or other submissionsOP19
TIME MANAGEMENT
TIME MANAGEMENT CHECKLISTOP20
1) The 6 Most Important and Vital 1™OP21
2) Team meetingsOP22
3) Annual staff retreatsOP23
4) CalendarsOP25
5) CopytalkOP25
Resources
OFFICE PROCEDURES
Making Updates on Any Procedures
As the business evolves and expands, there will be a need to make changes or edits to the procedures listed on the backend of the website. Whenever a change or edit is needed, follow the below instructions:
-
If the change involves text directly on the website, copy and paste the existing wording from the backend page into a Word document and update the part in question. Then send it to Jack for review. Once approved by Jack, send it to Vessy to paste into the site directly.
-
If the change involves text already in a Word document, download it and make changes within the Word document. Then send it to Jack for review. Once approved by Jack, send the updated Word document to Vessy to upload to the site.