Your compliance department has likely been growing, and for good reason. The ever-expanding complexity of rules and regulations across the globe along with increased fines and penalties makes Compliance more important than ever.  

Your sales teams are also under immense pressure to uphold their fiduciary responsibilities, ensure compliant presentations to investors, and grow AUM.  

When compliance changes aren't managed effectively firms are at risk of confusion, mistakes, and fines. What is needed is an automation strategy that works for Marketing, Sales and Compliance.  

Sales enablement technology can break down your firm's silos and align your teams. Learn how:  

  • Marketing can remove bottlenecks in the creation and distribution of materials.  
  • Sales can deliver the most compelling and compliant pitches.  
  • Compliance can spend less time manually monitoring, updating and approving disclosures.  
  • Your firm can mitigate risk and create an audit trail of compliant materials and behavior. 

Watch On Demand ↓ Recorded June 26th, 2019 

Daniel A. Murphy Compliance Expert 

Daniel A. Murphy was the Vice President, Chief Compliance Officer for PlanMember Securities Corporation, an independent Broker/Dealer and Registered Investment Advisor located in Carpinteria, California for 14 years. Mr. Murphy has over 26 years financial services experience and has been with PlanMember as the CCO since 2005-2019. Prior to joining PlanMember, Mr. Murphy was the Group Compliance Manager & AML Compliance Officer with Washington Mutual's bank broker/dealer for 11 years. He holds his Series 7, 24, 4, 53, 63 and 65 securities licenses as well as a CA Insurance license. 

Gopkiran Rao Senior Vice President of Strategy and GTM, MindTickle  

As the Sr. Vice President of Strategy and GTM, Gopkiran Rao is driving the next growth stage at MindTickle by developing and executing the Company’s thought leadership and market development programs for F500, mid-market and SMB companies alike. Gopkiran brings 18+ years of experience developing products and got to market strategies for limitless vertical solutions.

Stella Kerkimis Product Marketing Manager, Seismic Stella is responsible for Seismic’s go-to-market strategy in the Asset Management space. She has spent the last several years in Product Management, Credit Research, and Operations roles for global Asset Managers and holds her Series 7, Series 63, and Series 3 licenses. Prior to her role at Seismic, Stella spent over 2 years at Barings as a Product Manager for the Emerging Markets Debt and Investment Grade Fixed Income teams.

KNOWLEDGE REINFORCEMENT

Keep compliance top of mind with bite sized compliance updates and personalized reinforcement.

COMPLIANT BEHAVIOR

Certify compliant behaviors with financial solution pitch certification in recorded virtual practice.

DEFINITIONS & DISCLOSURES  

Update disclosure language in one repository and have it reflect updates across all applicable marketing collateral.  

VERSION CONTROL

Ensure only approved and updated versions are available for use. 


DATA INTEGRITY

Keep facts and figures up-to date with no manual entry and eliminate the risk of transposed or improperly entered information.  

AUDIT TRAILS  

Track all edits and updates across a single source of truth.  


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