Sara Grillo

OCTOBER 21, 2022

If you are looking for a paraplanner job, you could use the following job boards or recruiting companies: Simply Paraplanner New Planner Recruiting LinkedIn Jobs CFP Board Career Center FPA NAPFA (best for finding jobs with fee-only RIAs) XY Planning Network Indeed, Glassdoor, or other job boards.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Diamond Consultants

NOVEMBER 29, 2022

Knowledge is power—particularly in a world where compliance scrutiny has ramped up, and firms prioritize risk reduction over revenue creation. Internal investigations are exactly what they sound like, a review undertaken by your firm’s legal and compliance team to gather the facts surrounding a potential infraction. What are they?

Compliance 52

Compliance Recruitment Media Planning 52

Diamond Consultants

AUGUST 9, 2022

The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent. Plus, these platforms don’t just provide support at launch; they also offer ongoing operational, compliance, marketing, and practice management support to optimize the business for growth.

Compliance 59

Compliance Recruitment Clients Retirement 59

Diamond Consultants

DECEMBER 20, 2022

With recruiting particularly active at Morgan Stanley and UBS, advisors demonstrated that it’s still the right model for many of them. That is, placing greater focus on building a business with the end in mind, even if it meant eschewing a significant recruitment package.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

Diamond Consultants

AUGUST 7, 2023

While the firm continues to add new advisors to its ranks, it’s still struggling to keep pace in the so-called recruiting wars. Why do some firms enjoy tremendous success in retaining and recruiting advisors while others struggle to keep and attract advisor talent? And even current Jones advisors are wondering why.

Recruitment 52

Recruitment Compliance Budgeting Financial Advisor 52

Trade Brains

SEPTEMBER 22, 2023

In terms of employment services, it offers permanent recruitment services, temporary staffing options, and regulatory consulting for labour law compliance. Top Indian Stocks held by JP Morgan #5 – TeamLease Services Ltd Human resource services are offered by TeamLease Services Ltd. EPS (Rs) 65.12 Stock P/E (%) 34.33 ROE (%) 14.94

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Diamond Consultants

OCTOBER 10, 2023

However, these advisors are simultaneously forgoing massive recruitment bonuses from competing firms and a less labor-intensive transition process. But without growth, it will take many years to offset the “bird in the hand” of a lucrative up-front and back-ended recruitment package.

Math 52

Math Recruitment Consulting Clients 52

Diamond Consultants

JUNE 21, 2022

Yet many advisors shy away from the due diligence process itself, envisioning an exhaustive barrage of calls from recruiters and managers of other firms and meetings that often lead nowhere. While understanding the economics of a recruiting package is important, it shouldn’t be your first inquiry. But it doesn’t have to be that way.

Financial Advisor 52

Financial Advisor Recruitment Compliance Education 52

Diamond Consultants

JUNE 28, 2023

They want to have a sense of ownership over how they run their practice—including the ability to hire and fire team members, distinguish themselves from their colleagues by marketing their business creatively, and be allowed to run their practice without as much interference from compliance. First, UBS left the Protocol for Broker Recruiting.

Compliance 52

Compliance Recruitment Clients Compensation Planning 52

Trade Brains

OCTOBER 18, 2024

Regulatory compliance costs continue to rise. In 2024, financial crime compliance alone cost Indian financial institutions ₹5.1 They’re also recruiting tech talent to drive digital transformation efforts. Knowledge of AI and data analytics is increasingly valuable. lakh crore.

Banking 52

Banking Economics Investing Investments 52

Diamond Consultants

MARCH 14, 2023

In a world driven by the bottom line, the root of contentment often lies behind less “easily measured” criteria For all of the time, energy, effort, and money that firms spend on recruiting advisors, there’s one critical question they often neglect to address. That is, “ What makes advisors happy?” Now put yourself in their shoes.

Financial Advisor 59

Financial Advisor Recruitment Clients Compliance 59

Diamond Consultants

JANUARY 10, 2023

Debating the merits of stringent compliance regimes is beyond the scope of this article, but the reality is that we live in a world of heightened oversight. are hungry to recruit advisor talent, and there simply isn’t enough to go around. It means that firms are willing to pay a premium to recruit. Have a plan B.

Recruitment 59

Recruitment Financial Advisor Planning Retirement 59

Diamond Consultants

DECEMBER 19, 2023

We believe verily that everyone should have a Plan B, whether they have any thoughts of moving or not—especially in a world where heightened compliance scrutiny and zero-tolerance risk cultures abound. Recruiters have been saying for years that deals are at an all-time high, so I’ll never miss the boat.”

Recruitment 52

Recruitment Wealth Management Compliance Clients 52

Good Financial Cents

JANUARY 11, 2023

They must make decisions with the utmost accuracy and integrity to ensure compliance with banking regulations and protect the financial institution from costly legal or financial repercussions. Credit analysts’ challenge is largely based on their ability to remain impartial when evaluating borrowers’ finances.

Banking 96

Banking Budgeting Portfolio Management Recruitment 96

Trade Brains

SEPTEMBER 22, 2024

Maintaining a high CRAR ensures financial stability and regulatory compliance. The company is looking to continue to attract, train, and retain talented employees by Recruiting graduates and experienced professionals with training programs. LICHF’s has improved YoY, whereas Bajaj’s has decreased. 37,090 ₹144,651 AUM (Cr.)

Assets 96

Assets Portfolio Retail Planning 96

Diamond Consultants

MAY 27, 2022

For those advisors who’ve left the firm, it often comes down to some version of the following: The unique, fraternal feel that drew so many to the firm in years past is now gone, having been replaced by heavy-handed management, onerous compliance protocols, inflexibility around outside business activities, and disputes over book ownership.

Recruitment 52

Recruitment Clients Compliance Wealth Management 52

The Big Picture

MAY 9, 2023

So we have a pretty well tried and tested campus recruitment approach. So we have a tried and tested kind of campus recruitment approach. And at the time, we were going through a lot of regulatory change. Capital rules were changing. Risk appetite was changing. RITHOLTZ: Is that overstating it or is that a fair?

Assets 299

Assets Clients Investing Investments 299

Diamond Consultants

SEPTEMBER 10, 2024

An advisor could easily earn more for their book at day’s end if they have the appetite to go through a transition—either via a recruiting deal from another traditional firm or by creating a competitive bidding process and selling their book with capital gains treatment on the open market.

Retirement 52

Retirement Recruitment Clients Compliance 52

Diamond Consultants

DECEMBER 5, 2023

Increasing bureaucracy, rising compliance restrictions, diminishing freedom over investments, and client communications—just a few of the issues we hear about from advisors every day. While it may seem “safer” to stay put, there are risks in doing so that many advisors are unaware of.

Clients 52

Clients Compliance Retirement Management 52

The Big Picture

JULY 26, 2022

I mean, I don’t — RITHOLTZ: So this is really devious recruitment. WEAVER: — you know, my teaching and recruiting. WEAVER: But if we can hit our target — RITHOLTZ: We all have compliance departments. RITHOLTZ: Do you end up hiring people right out of your classes or — WEAVER: Yeah.

Consulting 298

Consulting Numbers Management Investing 298

Inside Information

MAY 30, 2023

Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.

Communication 40

Communication Sales Insurance Compliance 40

The Big Picture

MAY 23, 2023

How to recruit and retain the best people and how to use technology as a tool to give you an edge, not just in investing but in the ability to offer clients various solutions improving your efficiency, effectiveness and productivity as a company. Let’s round it up to 145 as much as my compliance people hate when I do that.

Clients 162

Clients Management Engineering Investing 162

XY Planning Network

JANUARY 16, 2023

4 MIN READ. New year, new firm? Whether you’re changing firms or starting your own, there are many things to consider and do. If notifying or bringing your clients with you is on your checklist, add this task first: C heck employment contract.

Clients 84

Clients Assets Management Recruitment 84

The Big Picture

SEPTEMBER 10, 2024

You know, when you, and then we recruit, you know, we talk to people, young people always say, you probably haven’t even ever had a B on your report card. You have to get compliance. So your probability of being correct Okay. Is low, right? I mean, like, if you’re 50 50 or 60 40 on your ideas, you’re really good.

Valuation 162

Valuation Clients Investing Investments 162

The Big Picture

AUGUST 15, 2023

And so alongside of Wall Street recruiting in my senior year, I interviewed at the Yale Investments Office and was fortunate to get that job and violated the two principles I had at the time, which was I wanted to be in a training program and I wanted to leave New Haven. Let me say what your compliance wouldn’t allow you to say.

Management 130

Management Investing Investments Government 130

The Big Picture

JULY 29, 2024

00:08:01 [Speaker Changed] And then from AssetMark, in October, 2023, you’re recruited to become CEO at Orion. 00:10:47 [Speaker Changed] So in the additive services that Orion offers now are financial planning, compliance, CRM services, risk and analysis portfolio construction and advisor portal and investor portal.

Clients 147

Clients Portfolio Financial Advisor Investing 147

The Big Picture

SEPTEMBER 5, 2023

And what is remarkable about some of the towns or cities in Florida is they now hire employees specifically to recruit CEOs from the Northeast who then will bring their companies to Florida. That it’s sort of evolving from a place you go to vacation or visit to a place that you live. MILLER: Right.

Sales 130

Sales Numbers Marketing Marketing 130

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Sara Grillo

SEPTEMBER 26, 2022

Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. The opinions expressed herein do not necessarily represent the views of Sara Grillo or Grillo Investment Management, LLC.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Diamond Consultants

MARCH 25, 2025

This is why firms like RBC and Raymond James have been so successful in recruiting wirehouse advisors, touting strong cultures that advisors can feel from day one. We often facilitate name-blind calls between an advisor recruit and an advisor at the prospective firm. How can advisors assess a new firms culture before joining?

Wealth Management 52

Wealth Management Management Recruitment Compliance 52

The Big Picture

MARCH 21, 2023

ASNESS: Well, I was striving for uncorrelated, but then the compliance officer in my head is saying sometimes it doesn’t come out to zero all the time. And it’s really not a compliance reason, I hope it’s more of an intellectual honesty reason. RITHOLTZ: Meaning it would be a recruitment challenge. ASNESS: Yes.

Valuation 173

Valuation Investing Investments Numbers 173

The Big Picture

DECEMBER 10, 2024

They have a bunch of databases, there’s compliance issues, there’s, you know, cyber, there’s there all kinds of things. You need to be able to set priorities, you need to have a realistic sense of time, and you need to know how to weave this new technology into the processes that are already exist.

Engineering 130

Engineering Consulting Manufacturing Investing 130

The Big Picture

MAY 16, 2023

Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. RITHOLTZ: I have a behavioral finance list. I have a, I have everybody in my firm on a list. I see everything that everybody tweets. I have a car list. That’s fun. Like that sort of curated lists.

Media 290

Media Investing Investments Valuation 290

The Big Picture

NOVEMBER 4, 2024

So if you can manage drug compliance better, and most importantly, the easiest but not easy thing to do is to keep people out of the hospital appropriately. 00:44:44 [Speaker Changed] Ju literally just had this conversation yesterday with my head of compliance. That’s is how in part you differentiate yourself. And drug costs.

Healthcare 130

Healthcare Medical Investing Investments 130