Bates Group

🚀 Attention Broker-Dealer Firms: Bates Group has a team of FinOp professionals ready to support your firm. Let’s discuss how we can meet your FinOp needs! Connect with us today! Send us a direct message or fill out the form: https://shorturl.at/sEXPl

𝑰𝒇 𝒚𝒐𝒖’𝒓𝒆 𝒊𝒏 𝑽𝒆𝒈𝒂𝒔, 𝒍𝒆𝒕’𝒔 𝒄𝒐𝒏𝒏𝒆𝒄𝒕! The Bates team is thrilled to connect and have insightful conversations with everyone at Money20/20! 🎤 Meet Our Team: Brandi Reynolds, CAMS-Audit, CCAS – Chief Growth Officer & Sr. Managing Director Matt Summers, MBT – Director, Client Delivery Michael Lindemann – Director Jason Fitch – Director Looking forward to seeing you there! #Money2020 #BatesGroup

Bates Group is thrilled to be a returning sponsor of this premier event in financial compliance. Our team is eager to connect with you and discuss how we can strengthen your compliance program. Don’t miss our featured speaker: Henry "Hank" Sanchez, Esq. Managing Director Session 1c: BD Lab - Best Practices for Testing, Supervision, and Surveillance TODAY, Oct. 28, 10:15 a.m. - 11:15 a.m. With our decades of hands-on expertise, we're ready to address your unique compliance challenges. Reach out to us via direct message or connect with Hank personally on-site! #ComplianceSolutions #FinancialServices #ExpertInsights #NSCP2024 #BatesGroup

The 2024 NSCP National Conference is just days away! Bates Group is thrilled to be a returning sponsor of this premier event in financial compliance. Our team is eager to connect with you and discuss how we can strengthen your compliance program! Don’t miss our featured speaker: Matthew Przybylski, CFE, Senior Consultant Session 7e: BD/IA - Effective Supervisory Programs for Larger Firms Tuesday, Oct. 29, 2:10 p.m. - 3:25 p.m. With our decades of hands-on expertise, we're ready to address your unique compliance challenges! Want to connect during the conference? Let us know, send us a message or connect with Matt personally! #ComplianceSolutions #FinancialServices #ExpertInsights #NSCP2024 #BatesGroup

𝐄𝐱𝐜𝐢𝐭𝐢𝐧𝐠 𝐉𝐨𝐛 𝐎𝐩𝐩𝐨𝐫𝐭𝐮𝐧𝐢𝐭𝐲: 𝐂𝐨𝐦𝐩𝐥𝐢𝐚𝐧𝐜𝐞 𝐂𝐨𝐧𝐬𝐮𝐥𝐭𝐚𝐧𝐭 𝐢𝐧 𝐅𝐢𝐧𝐓𝐞𝐜𝐡 & 𝐁𝐚𝐧𝐤𝐢𝐧𝐠 Bates Group is actively seeking a Compliance Consultant to join our dynamic team! For over 40 years, we have been a trusted partner in the financial services industry, helping our clients manage financial and reputational risks through expert consulting and analytical services. If you have a passion for regulatory compliance and are looking to make an impact in the FinTech and banking sectors, this role is for you! 🏢 Location: Remote ⏳ Hours: Full-time (40 hours per week) Apply here: https://lnkd.in/e-wj6EQd

Bates Group is thrilled to be a returning sponsor of this premier event in financial compliance. Our team is eager to connect with you and discuss how we can strengthen your compliance program. Don’t miss our featured speaker: Henry "Hank" Sanchez, Esq. Managing Director Session 1c: BD Lab - Best Practices for Testing, Supervision, and Surveillance Monday, Oct. 28, 10:15 a.m. - 11:15 a.m. Want to chat during the conference? Connect with our team to schedule a meeting during or after we meet in Dallas. With our decades of hands-on expertise, we're ready to address your unique compliance challenges. Reach out to us via direct message or connect with Hank personally! If you want to learn more about our services, fill out this form: https://hubs.li/Q02Vqf_c0 #ComplianceSolutions #FinancialServices #ExpertInsights #NSCP2024 #BatesGroup

We’re heading to the 2024 Money20/20 USA Conference! 🚀 From October 27-30 in Las Vegas, our team of experts will be at the forefront of the financial technology revolution, ready to connect, collaborate, and share insights into the latest industry trends. 🎤 Meet our experts: Brandi Reynolds, CAMS-Audit, CCAS – Chief Growth Officer & Sr. Managing Director Matt Summers, MBT – Director, Client Delivery Michael Lindemann – Director Jason Fitch – Director ➡️ Will you be there? Let’s meet and explore opportunities to drive growth together! Send us a message if you'd like to schedule some time to chat.

🚨 Breaking News: SEC Unveils Comprehensive 2025 Examination Priorities! 🚨 The SEC's Division of Examinations has unveiled its 2025 priorities, emphasizing both traditional oversight and emerging market challenges. Key focus areas include: 📋 Fiduciary duty & conduct standards 🔒 Cybersecurity preparedness 🤖 Artificial intelligence oversight ⚖️ Compliance with the new IA AML Rule SEC Chair Gensler: These priorities "enhance trust in our ever-evolving markets" while protecting investors and facilitating capital formation. Get the full details: https://hubs.li/Q02Vp_rf0 #SECCompliance #RegulatoryUpdate #FinancialServices #Compliance #RiskManagement

𝐓𝐡𝐞 𝐁𝐚𝐭𝐞𝐬 𝐆𝐫𝐨𝐮𝐩 𝐭𝐞𝐚𝐦 𝐰𝐢𝐥𝐥 𝐛𝐞 𝐚𝐭 𝐌𝐨𝐧𝐞𝐲 𝟐𝟎/𝟐𝟎 𝐢𝐧 𝐋𝐚𝐬 𝐕𝐞𝐠𝐚𝐬, 𝐍𝐞𝐯𝐚𝐝𝐚 𝐢𝐧 𝐥𝐞𝐬𝐬 𝐭𝐡𝐚𝐧 𝐚 𝐰𝐞𝐞𝐤! We recently caught up with our Fintech & Banking Director, Matt Summers, MBT, to hear what he's most excited about for the event: Q: 𝐖𝐡𝐚𝐭 𝐚𝐫𝐞 𝐲𝐨𝐮 𝐦𝐨𝐬𝐭 𝐥𝐨𝐨𝐤𝐢𝐧𝐠 𝐟𝐨𝐫𝐰𝐚𝐫𝐝 𝐭𝐨 𝐚𝐭 𝐌𝐨𝐧𝐞𝐲 𝟐𝟎/𝟐𝟎? A: I'm particularly looking forward to the networking opportunities, where I'll be able to connect with industry peers, share insights, and explore new business prospects. The event offers a compelling lineup of key speakers and topics, along with workshops that promise valuable learning experiences. Q: 𝐖𝐡𝐲 𝐢𝐬 𝐭𝐡𝐢𝐬 𝐞𝐯𝐞𝐧𝐭 𝐢𝐦𝐩𝐨𝐫𝐭𝐚𝐧𝐭 𝐭𝐨 𝐲𝐨𝐮 𝐚𝐧𝐝 𝐁𝐚𝐭𝐞𝐬 𝐆𝐫𝐨𝐮𝐩? A: Attending Money 20/20 is an exciting opportunity for Bates Group, and we're thrilled to be a part of the event this year. It's a unique opportunity for gaining valuable industry insights as we continue to adapt to rapidly changing industry landscapes. Money 20/20 serves as a vital platform for innovators, decision-makers, and disruptors within the finance and technology sectors. Its where groundbreaking ideas meet actionable strategies, and we can't wait to be a part of that dynamic exchange. 👉 𝐖𝐡𝐚𝐭 𝐚𝐛𝐨𝐮𝐭 𝐲𝐨𝐮? 𝐖𝐡𝐚𝐭 𝐚𝐫𝐞 𝐲𝐨𝐮 𝐦𝐨𝐬𝐭 𝐞𝐱𝐜𝐢𝐭𝐞𝐝 𝐚𝐛𝐨𝐮𝐭 𝐚𝐭 𝐌𝐨𝐧𝐞𝐲 𝟐𝟎/𝟐𝟎? Let us know in the comments, or send us a direct message to schedule a time to connect in person! #Money2020 #Fintech #Innovation #AI #BankingCompliance #BatesGroup

Are you attending the 2024 National Society of Compliance Professionals (NSCP) National Conference in Dallas next week? Be sure to catch Bates Group's featured speakers in person: ⚡ Henry "Hank" Sanchez, Esq. Managing Director Session 1c: BD Lab - Best Practices for Testing, Supervision, and Surveillance Monday, Oct. 28, 10:15-11:15 a.m. ⚡ Matthew Przybylski, CFE, Senior Consultant Session 7e: BD/IA - Effective Supervisory Programs for Larger Firms Tuesday, Oct. 29, 2:10-3:25 p.m. The NSCP National Conference is the perfect opportunity to learn from our industry experts. Also joining us are Rhonda Davis (Senior Managing Director, Compliance Team Leader) and Jennifer Stout - Bates Group (Senior Executive Advisor, Board Vice-Chair). Connect with our team to discuss compliance solutions for Broker-Dealers and RIAs. We're here to help you navigate the complex world of financial services compliance. Reach out to schedule a meeting during or after the conference: https://hubs.li/Q02VljWj0 #ComplianceSolutions #FinancialServices #ExpertInsights #NSCP2024 #BatesGroup