Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
I’m not going to sugar coat it… There is a lack of qualified compliance professionals out there. Especially in the world of finance. So I understand which many RIAs and broker-dealers and firms opt for cookie cutter compliance programs. Because it can be HARD to find compliance help that is more than just consultative. We’re trying to change that though. We’ve thought about what would really help our industry and we’ve created the Outsourced Compliance Department. That’s right you get access to a CCO and compliance analysts, for less than the cost of a CCOs salary. And the best part? You don’t have to do the hiring. Your firm grows once you’re no longer spending 10 hours a week on compliance yourself? Great, we've got analysts ready to jump in and pick up the extra work. You need legal support? It can be included as part of your service, because our legal team knows that contracts are best when they are custom written for your needs rather than using 10-year-old templates. How does this new kind of service work? Let me talk you through it: https://lnkd.in/eKgnThu4 #compliance #financialservices #myrialawyer
