Our 4 Core Pillars: Compliance
(This post is the third of a four-part blog series examining the core pillars that constitute Kestra Private Wealth Services: equipment, real estate, compliance, and technology.)
Breaking free from the wirehouse is a big step, and let’s be honest, becoming a compliance expert during the transition may be the last thing you want to worry about.
That’s why compliance marks one of the four core pillars of Kestra PWS. We handle your regulatory needs remotely to ensure your independent business runs efficiently and compliantly. Best of all, no one from your team has to divert hundreds of hours to get licensed.
Here are several features of our compliance service model:
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It’s centralized and streamlined: Our compliance database and document flow is entirely centralized. When documents are uploaded into our system, they are electronically stored in the proper place, meaning your firm never has to maintain a physical record book. Furthermore, 99% of forms and paperwork can be executed via eSignature, making business transactions much easier for both you and your clients.
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It’s personal: When you engage with Kestra PWS, you are immediately assigned to a compliance specialist — yes, another human being, not a hard-to-reach call center. This ensures you always receive top-notch, personalized, and efficient service. Additionally, if you’re ever subject to an SEC audit, we’ll fly a compliance team member to your office to spearhead the review and interface directly with regulators on your behalf. Exhale sigh of relief.
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It’s business-friendly: We’re not here to play “gotcha.” In other words, we don’t say “no” just for the sake of it or aggressively nitpick. We’re your partner at the end of the day — our goal is to help you run a successful, independent business in a way that regulators would approve of. This includes helping you avoid costly fines that could detract from your firm’s monetary value. In fact, many of our compliance team members are former financial advisors, so we understand firsthand the nuances of advising clients and growing a business within a regulatory framework.
When push comes to shove, would you rather allocate hours becoming a compliance expert or invest that valuable time into your clients? Through a partnership with Kestra PWS, you have the freedom to spend more of your time the way you want.
Start a conversation with us today to learn more.
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