There are many factors to consider when hiring a new team member for your growing registered investment adviser (“RIA”) firm. It is critical that your firm understands and addresses the regulatory considerations when hiring any new employee.
We’ve created an infographic detailing compliance considerations for RIAs to keep in mind throughout the hiring process. The four key compliance considerations discussed in this infographic include:
- Disciplinary disclosures
- Cybersecurity concerns
- Familiarity with systems and regulatory rules
- Attitude toward compliance concerns
Contact us to learn more about our compliance platform.