Iain Duke-Richardet, Hearsay’s VP of Compliance Strategy, and Bill Simpson, Sr. Compliance Manager, dive into the key findings of Hearsay’s inaugural Compliance Benchmark Report.
Watch the 30-minute webinar to learn:
- How compliance teams are managing increased demand through technology and operational improvements, and what they perceive to be their greatest areas of strength and weakness
- How teams are responding to increased regulatory pressure to drive better risk-aligned supervisory practices
- Which digital communications channels emerged as business-critical for advisers/agents, and which ones posed additional regulatory and reputational risk
- What’s top of mind for 2022 when it comes to investment in resources, new technologies, staffing and key metrics
Learn how your firm compares in this insightful discussion with Hearsay Compliance!