What sets FundEX apart? Our defined cost platform represents more than just a 100% payout opportunity. We like to believe that everything from our advisor-focused guiding principles to our business philosophy and industry insight makes us unique. If you’re a client-centred financial planner, and not a producer, we may be the right fit for you.
Compliance? A benefit? It seems odd to have compliance being referred to as a benefit. However, that depends on the role it plays within the dealership. The regulatory landscape has changed dramatically over the last decade. Keeping pace with it, we believe, is our job.
At FundEX, we view our compliance personnel as “Sales Protection Officers”, not as “Sales Prevention Officers”. Furthermore, we feel it is our responsibility to educate our advisors on what the rules mean so they can operate their businesses within them. We believe this is best fulfilled by acting as your compliance coach.
It is important for us to understand you and your business (i.e., know our client). This is why we incorporate a regional compliance model made up of Regional Branch Managers (RBM’s) and Regional Auditors (RA’s). Both RBM’s and RA’s have responsibility for no more than 100 Associates. This allows them to tailor their coaching efforts to better address any current and potential compliance concerns with the advisors in their region.
