Welcome to BackStop Compliance!
Welcome to BackStop Compliance! Let me tell you a little about who we are and what we are doing.
Compliance is a passion of mine; it is dry and boring and after years of reflection so am I. However, I view compliance in a different light due to experience – the vast majority of advisors are awesome and need education and help more than anything in running their firm's compliance not draconian policies and enforcement which has become default in the industry. This has led to advisors overpaying for compliance help or placing it on the back burner while hoping for the best. This is why I founded BackStop to provide compliance support and education without the blocks on growth and exorbitant fees. If your compliance consultant or outsourced help isn’t a partner in your success and trusted advisor...why work with them?
BackStop is built to be a partner to advisory firms and FinTech companies to build a culture of compliance while growing and taking care of their clients. No more hearing NO NO NO from your compliance department, no more dreading an audit with outdated or insufficient policies. I have been in compliance 14 years, including being an advisory firm owner and consultant to advisors in practice management, growth, marketing and fintech stack building. I know what goes into new clients and the challenges faced owning your own firm since I have done it. So, you can ensure I will take care of your business as if it were my own and become a trusted advisor to your firm.
Starting next week is our educational series and I hope you all learn about best practices and my opinions on where the future of financial regulation takes the industry. And I hope that over time what you learn from BackStop will build the trust needed for us to work together.
At BackStop we specialize in:
Creating a culture of compliance
Audits
Marketing Compliance
Due Diligence for TAMPs and FinTech
Risk assessments
A little more about me:
I started in this industry in 2006 and cut my teeth working in compliance. At 23 I was forced to learn quick and be able to talk securities regulation with advisors who had more experience than I had years on this planet. I loved that part; it fed into a built in need to learn as much as possible about the industry and most importantly how today's events would shape the future of the industry. It has led me on a winding career path into owning my own advisory firm, working in FinTech and consulting with hundreds of advisors throughout the US. Culminating with founding BackStop.
