Compliance in the financial planning industry can feel like a minefield. So, what does it take to get the green tick of approval for compliance?
Kerrin Glover, Senior Compliance Consultant at Kinetic Compliance, joins me to share her three top tips on problematic compliance areas you need to be aware of when writing an SOA. She also explains personalisation and customisation of the SOA, and demystifies what your auditor is looking for (and why they’re looking for it!).
This episode is a must listen for any paraplanners wanting to refine their skills, especially when it comes to compliance.
Connect with Kerrin: https://www.linkedin.com/in/kerrin-glover-2446833a/
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