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rOCK Box
J.W.
Cole has been able to successfully transition hundreds of Investment
Professionals to our organization. With
this knowledge, we have been able to master processes and efficiencies that
allow new associates to move their business quickly so they can focus on
growing their practice. By continual
review and refinement of the transition process as well as close feedback from
new associate J.W. Cole has developed a training, resource and best practice program
known as the Representative Office
Compliance Kit (ROCK Box). The
ROCK Box contains materials you will need in order to have your office operating
quickly and correctly. This critical
resource not only serves as the starting point of our relationship, but is
built to expand, update and keep you compliant as your practice and tenure grows
with J.W. Cole.
- Below is sampling of what is provided
in the J.W. Cole ROCK Box:
- J.W. Cole Operations & Training
Manuals
- J.W. Connect Manual
- Streetscape Manual
- Email Training Manual
- Copies of all New Account Forms (all
mandatory information highlighted)
- Copies of all Disclosure Forms
- J.W. Cole Document Matrix
- Pre-Printed Mandatory Compliance
Folders (Advertising, Correspondence, Customer Complaints, Option Complaints)d
- Descriptions and Instructions of all
mandatory Transaction Blotters
- Technology Offerings & Discount
Programs
- J.W. Cole Home Office Contacts &
Job Descriptions
- Home Office Service and Standards Guide
- Approved Product List with Company
Contact Information
- Clearing Cost Schedule
- Required Office Signage
- J.W. Cole Client Brochure
Plus Much More...
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