Season 425 Episode 15224
S5 EP8: Behind the Scenes: Compliance Challenges in Financial Services with Kristen Guerrero
In this episode, we're diving into the essential world of regulatory compliance in the financial services industry with our esteemed guest, Kristen Guerrero. Boasting over 20 years of experience, Kristen is the founder of RIA Compliance Key, a boutique firm specializing in guiding SEC registered firms through the complexities of compliance. Kristen shares her remarkable journey, from starting as a college intern to becoming a leader in compliance. We explore her pivotal decision to launch her own firm, the critical role compliance plays in the financial sector, and the courage and insight required to transition from a traditional career path to independence. Kristen offers practical advice for those contemplating starting their own Registered Investment Adviser (RIA) or making a strategic move to a new firm, emphasizing the importance of thorough research, understanding your motivations, and leveraging valuable resources. Join us for a conversation filled with inspiration, practical tips, and invaluable insights, tailored for anyone navigating the financial industry's complex landscape. Whether you're a seasoned professional or someone eyeing a significant career shift, this episode is packed with wisdom to guide your journey. Tune in and discover how compliance can be a strategic ally in building a successful financial practice. Contact Our Guest: www.riacompliancekey.com 
/ kristen-guerrero Meet the women behind the millionaires, the women supporting, guiding, and celebrating women with their wealth. You’ll hear from women millionaires, how they got there, what they wish they had known, what got them to be a millionaire. The emotional side, spiritual side, and practical side of wealth. But also the women behind the scenes making it happen. Let's dive into women behind the millions. New episodes release every week: https://www.thewealthboutique.com/
