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The Synergy Compliance Podcast

The Synergy Compliance Podcast

By: Scott P. Gill
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 Whether you're a solo advisor, part of a growing firm, or managing compliance at scale, The Synergy Compliance Podcast breaks down the latest regulatory updates, compliance best practices, and real-world challenges—without the legalese.Scott P. Gill Economics
Episodes
  • Leveraging Sub-Advisers and Third-Party Managers

    Leveraging Sub-Advisers and Third-Party Managers
    Jul 25 2025

    The use of sub-advisers and third-party managers can be a major value add for firms that offer portfolio management. However, if not implemented correctly, using an outside service could lead to regulatory examination deficiencies.


    Listen in as host Scott P. Gill and compliance consultant, Eric Moeller, talk about the three areas of compliance to consider before making changes to your firm's operations.

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    29 mins
  • Risk vs Security

    Risk vs Security
    Jul 2 2025

    In this episode, small business and IT expert, Marc Gibson, joins host, Scott P. Gill, to talk about the difference between risk and security. It's critical for business owners to understand their separate functions, and how they each relate to a firm's compliance program.


    Marc is the CEO and Lead Strategist of DThree Technologies. Founded in 2019, their mission is to empower entrepreneurs through technology.
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    25 mins
  • Structure Through Process, Power Through Data

    Structure Through Process, Power Through Data
    Jun 6 2025

    Episode 5 of The Synergy Compliance Podcast is chock full of valuable insights from Synergy's Business Process and Systems Manager, Darian Powell. She recently sat down with host Scott P. Gill to talk about how to effectively run your firm by creating alignment between data collection and evaluation, and core processes and workflows that drive your businesses operations.

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    21 mins
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