Behind The Advisor Ep #270: Scaling Your Compliance Program
We’re honored to welcome Scott Gill, XYPN Senior Compliance Consultant, and Abby Morton, an XYPN member and partner of Goldman Financial Planning, a fee-only firm out of Maine, on the show today. Through XYPN’s Compliance Coaching Program, Scott and Abby have been able to work together to help Abby scale her compliance program as she continues to grow as a firm owner.
Join us as we talk about Abby’s specific compliance needs as she’s grown over the years, but most specifically, her looming SEC registration. We discuss how Scott and Abby have been able to implement a culture of compliance within her firm that has her focusing on compliance for only certain days and times each month. Along with helping Abby gain confidence and experience with her processes, Scott has helped her not fear an audit.
If you're interested in how you can scale a compliance program within your growing firm, this episode is for you.
You can find show notes and more information by clicking here: https://www.xyplanningnetwork.com/270