Modern COMPLYance Women

How powerful is mentorship? Whether you’re just starting out and looking for a mentor to help you navigate the next steps in your career or you’ve broken through the glass ceiling and want to pay it forward, mentorship has been proven to open doors, advance careers, and create new opportunities for individuals at all levels. But what does a good mentorship look like? And what does it require from the mentor and the mentee? Join COMPLY Chief Market Officer Wendy Werve for our September Modern COMPLYance Women Virtual Roundtable: Making a Mentor. During this session, Wendy will discuss the ins and outs of mentorship, including how to find the right mentor and how to be an impactful mentor to those around you. Save your spot today: https://lnkd.in/e3-gTSyG

⏰ The clock is ticking! ⏰ Save your spot for COMPLYConnect 2024 and save $$$. How? Simply RSVP by August 31. Join us in Austin, TX, and take part in the premier compliance conference of the year. With a jampacked agenda covering topics like Interpreting Potential Future Directions of Private Fund Compliance and Expanding Your Business into the UK - Compliance Considerations, you won't want to miss a single minute. RSVP today: https://lnkd.in/d67UCjHC #COMPLYConnect

#COMPLYConnect2024 is coming up! From the pre-conference Women in Compliance roundtable to sessions led by top industry leaders to opportunities to network with compliance colleagues, we have some big plans you don't want to miss. RSVP now: https://lnkd.in/dvMQqmPm

Big news from COMPLY! 🎆   We are thrilled to announce that COMPLY has made the Inc. 5000 List of the Fastest-Growing Private Companies in America for the third year in a row as a result of our 275% three-year revenue growth. And even better? We’ve advanced our position by nearly 200 spots! Big congratulations and thank you to our amazing customers and employees for helping us achieve this milestone! “The COMPLY team is honored to be recognized by Inc. 5000 once again. Our growth over the past three years not only highlights the increasing importance of regulatory compliance within the financial services industry, but also reflects the trust and strong partnerships we’ve built with our customers,” said COMPLY CEO Michael J. Stanton. “Achieving such dramatic growth in a challenging economic environment is especially rewarding and underscores the dedication and passion of our talented employees who consistently focus on delivering innovation to make our customers successful.” Learn more: https://lnkd.in/e6gsFb3A

We are proud to congratulate our most recent IACCP® designees, Maalik W., IACCP®, Bonny Brown, IACCP®, and Paul D. Allen, IACCP®, CFP®, MQFP®. The COMPLY certification, co-sponsored with the Investment Adviser Association, is a professional education program granting the IACCP designation to individuals who complete an online and/or in-person instructor-led program of study, pass a certifying examination, and meet its work experience, ethics, and continuing education requirements. Interested in becoming an IACCP® designee? Learn more about becoming certified: https://lnkd.in/eKfcH-aZ

You're invited! ✉️ COMPLYConnect 2024 is coming soon, and it’s going to be huge. Join us and learn from the best, connect with industry leaders, and discover innovative solutions to your toughest compliance challenges. #COMPLYConnect2024 #ComplianceConference #ComplianceEducation RSVP now: https://lnkd.in/dvMQqmPm https://lnkd.in/dvM-pcat

The Virtual Investment Adviser (IA) Core Program Symposium is right around the corner...but there's still time to save your seat for this premier education event. Take part in expert-led sessions covering topics like: ✔ Books and Records Requirements for Investment Advisers  ✔Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements  ✔Compliance Programs Rules and Strategies for Managing Your Annual Review Ready to RSVP? Save your seat today: https://lnkd.in/gQBvjgCY

Last night's Modern COMPLYance Women dinner was a hit! We kept the conversation going from the Modern COMPLYance Women Roundtable pre-conference session at COMPLYConnect, connecting with amazing women in the industry. Cocktails, dinner, and insightful chats -- what a great way to network. Psst -- we're continuing the conversation in another pre-conference session at COMPLYConnect 2024. RSVP now: https://lnkd.in/eUQNW-vs #ComplianceWomen #COMPLYConnect

Attention California IARS! 📢📢📢 Have you heard? California is now one of the most recent states to officially implement the NASAA IAR CE requirement. With this most recent update, here's a refresher on IAR CE requirements, what states have or plan to implement the requirement, and how you can ensure compliance with this rule. Learn more: https://lnkd.in/egmQqnCD

Looking to elevate your investment firm's compliance game? Our recent webinar dove deep into best practices and tactics to make your compliance review process efficient and effective. Read this blog post for key takeaways! Learn more: https://lnkd.in/eAqg8bAQ