From Overwhelmed to In Control: Enhancing Your Compliance Framework as an RIA Owner

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Do you find yourself grappling with compliance responsibilities as a firm owner or advisor? With the growing complexities of regulations, it’s crucial to understand how to integrate compliance effectively into your daily operations. Whether you’re overwhelmed by compliance demands or looking to refine your approach, this session will help you evaluate and enhance your compliance framework.

Join Shelby Brown, IACCP® Senior Compliance Consultant at XYPN, for an impactful discussion where you'll learn about:

• Understanding the essential duties and responsibilities of the Chief Compliance Officer
• Seamless integration of compliance into your daily operations
• Developing a compliance program that aligns with your firm’s unique business model
• Leveraging XYPN’s support to ensure your compliance efforts are efficient and effective

This FREE live event is your chance to gain wisdom from an expert who understands your unique challenges and can help you navigate the compliance landscape. Bring your questions and join us for actionable insights and tools to empower your firm with a robust compliance framework tailored to your needs!