by James Pfeiffer | Last updated Oct 10, 2019
Audit Ready Incentive Compensation The increasing cost of compliance and oversight – in time and money – is something investment services firms face every day. From internal audits that scrutinize our processes to regulatory bodies like FINRA and the SEC that scour...
by James Pfeiffer | Last updated Aug 9, 2019
Understanding the Operational Risks Caused by Manual Incentive Compensation Processes Managing and leading an investment services firm is an enormous responsibility. Top challenges include: Growing the firm’s revenue while keeping overhead in check. Ensuring that...
by James Pfeiffer | Last updated Aug 1, 2019
How much time does your advisor team waste on shadow accounting? In the world of incentive compensation, shadow accounting is the process in which a salesperson tracks their production separately, creating and maintaining a parallel record so that they can...
by James Pfeiffer | Last updated Sep 9, 2019
Do any of these sound familiar? “We better not lose John, or we won’t be able to pay our advisors for weeks.” “No one can cover for Jane, and no one wants to learn pivot tables.” “John plans his vacation around month-end closing.” If so, then your firm has a single...
by James Pfeiffer | Last updated Sep 10, 2019
Finance and sales leadership at investment programs need to be up-to-speed on advisor compensation trends and current research. The need to remain competitive is important for numerous reasons, but perhaps one of the most critical reasons is due to the growing talent...
