Fostering a Culture of Compliance
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Fostering a Culture of Compliance
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About this listen
Tune in to hear Scott P. Gill chat with his long time friend and fellow compliance industry expert, Kristen Guerrero, as they talk about everything from navigating the registration process, to creating tailored compliance solutions for RIAs. Scott and Kristen share a similar consulting philosophy: ask the right questions to understand and support their clients.
Kristen is the owner of RIA Compliance Key and recently collaborated on Beyond the Broker: Navigation Financial Advisory Independence, a guide to building a thriving, independent advisory practice.
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In the spirit of reconciliation, Audible acknowledges the Traditional Custodians of country throughout Australia and their connections to land, sea and community. We pay our respect to their elders past and present and extend that respect to all Aboriginal and Torres Strait Islander peoples today.