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Five Ways to Avoid Being Terminated in a Hypervigilant Compliance World While the rules may not have changed, it appears the consequences have and advisors are feeling more vulnerable than ever.
While the desire for greater freedom and control is one of the most common drivers of movement, there is another motivator that’s becoming just as prevalent: the constant sense of vulnerability.
In a world of hypervigilant compliance departments dinging advisors for often minor “non-sales or non-client-related” practice violations, there is zero room for coloring outside the lines. Many advisors find themselves looking over their shoulders waiting for the proverbial shoe to drop and they’re growing tired of it.
Five Ways to Avoid Being Terminated in a Hyper-Vigilant Compliance World While the rules may not have changed, it appears the consequences have and advisors are feeling more vulnerable than ever.
While the desire for greater freedom and control is one of the most common drivers of movement, there is another motivator that’s becoming just as prevalent: the constant sense of vulnerability.
In a world of hyper-vigilant compliance departments dinging advisors for often minor “non-sales or non-client-related” practice violations there is zero room for coloring outside lines. Many advisors find themselves looking over their shoulders waiting for the proverbial shoe to drop and they’re growing tired of it.