The Synergy Compliance Podcast
The Synergy Compliance Podcast
Podcast Description
Whether you're a solo advisor, part of a growing firm, or managing compliance at scale, The Synergy Compliance Podcast breaks down the latest regulatory updates, compliance best practices, and real-world challenges—without the legalese.
Podcast Insights
Content Themes
The podcast focuses on compliance updates, regulatory challenges, and operational efficiency, featuring episodes like Borrowing Insights from Non-Financial Industries, where the host discusses lessons from manufacturing and hospitality, and Dos and Don'ts of CRM Management, which covers practical tips for using CRM systems effectively in compliance management.
Whether you’re a solo advisor, part of a growing firm, or managing compliance at scale, The Synergy Compliance Podcast breaks down the latest regulatory updates, compliance best practices, and real-world challenges—without the legalese.
On June 9, 2026, the SEC Division of Examinations published a risk alert reminding advisers of their fiduciary duty to their clients. On this episode of The Synergy Compliance Podcast, we hear from former SEC Examiner, Andrew Schuster, on what regulatory exams look like from the other side of table, particularly in the context of the recent SEC risk alert.
Andrew left the Commission to launch ClearView Regulatory Compliance, where he helps advisers prepare for SEC examinations through mock exams, exam support, and remediation built on how examiners actually assess risk in practice.
Whether you've already been through an exam, or are anticipating one in the future, this is a must listen for independent RIAs. Hone your compliance strategies by listening to advice from Andrew's nearly 30 years of experience.
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