Mastering Your Compliance Program as an RIA Owner

You’re not alone if managing your firm’s compliance program feels intimidating, frustrating, or both. Whatever the source of your vexation—whether it’s the added responsibility of staying on top of regulations, falling behind on task management, or any other overwhelming sensation that compliance brings up—there is a solution.  

Flipping the script is as simple as proactively creating a compliance calendar that helps systematize and manage your compliance program. According to Kitces.com, you can feasibly reduce your annual working hours spent on compliance tasks to 2%. Imagine spending the other 98% of your time serving and gaining clients!

In this webinar, XYPN’s Managing Director of Compliance, Travis Johnson, IACCP®, and Senior Compliance Consultant, Shelby Brown, IACCP® will show you how to flip the script on your compliance management. Look forward to actionable information on how to:

• think about compliance during the initial phases of building your firm
• regain control if you didn’t begin with ongoing management processes
• create and maintain a compliance calendar
• systematize compliance tasks and break them into manageable time blocks

This is a can’t-miss webinar if you want your new (or improved) compliance program on track for 2024!