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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