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5/28 Thread (General):
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Has anyone taken the CAIA ? Any tips ?
How much was your bonus this year?
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Once compliance can be seen as a partner that will change. Right now compliance teams just live in their own reality and don’t understand how business works so they make insane comments or rules or policies without thinking outside the box.
While compliance can be a hindrance at times, I think it’s great as an advisor to have a good relationship with compliance. I’d much rather be told no or work together to find a good solution rather than have to talk to FINRA or a state regulator after the fact. I feel for your loneliness, but know you are respected for your work. As others have said, if you can develop rapport and come from a place of caring about them personally, I think attitudes will begin to change.
Lol Compliance definitely gets a bad rap but lean into those soft skills. Strike up a conversation with someone and show that you’re an approachable, multi-faceted individual.
I know this is an old thread, but if you are front office compliance/supervision you can absolutely have good report at the office. I was the sales supervision manager for years at multiple firms and never had an issue going out with FAs after work, for lunch, on the weekends etc. It is 100% how you deliver yourself and your responses to them. My past life was trading and sales and I learned how to pivot my personality into management. I’m C suite now.