HeyJaredThe Synergy Compliance Podcast
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.
- Indexed episodes, last 90 days
- 2
- Latest publication
- Aug 19, 2026
- Audience
- Checking…
- Earliest in this view
- Jul 23, 2026
Latest episodes
AI, Cybersecurity, and the Future of SEC Examinations (opens the original)
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What does cybersecurity compliance look like when regulators expect more than just policies and procedures? In this episode, Scott P. Gill sits down with Brian Hahn, Founder of MTradecraft, to discuss how cybersecurity examinations are evolving and what RIAs need to do to stay ahead. Drawing on decades of experience in trading, compliance, intelligence analysis, and cybersecurity consulting, Brian explains why firms must move beyond documentation and focus on demonstrating real-world implementat
SEC Risk Alert: Conflicts of Interest Under the Microscope (opens the original)
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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 e
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