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Leadership Panel Discussion

Transcript

KIM LEVY: Helping to ensure that, you know, the management team feels that compliance is not a cost center of the organization, but… but a revenue center. So, again, good compliance brings good revenue for the firm.

BEN BOUEY: Sometimes you have to say no to a client…

MAN: Yep.

BEN BOUEY: …for their best interest. And that’s our responsibility, and that’s a value we hold dear. But that’s someplace I can engage and add value in a way that may not look like it on the surface, but, ultimately, I think is the right result.

DAN HAYNES: If you’re able to develop those relationships early on, you’re able to cultivate those and not just stop by when there’s an issue, but stop by, ask them how they’re doing and whatnot, I found that the issues that maybe they… if they’re being pushed or influenced to do something that maybe they don’t feel okay with, they’ve got an advocate with me. And I always say, ‘Look, I am happy to be the… you know, if you’re uncomfortable with something, come talk to me.’

KIM LEVY: With my team I started with the annual goals and really said to them, ‘What does success look like to you? At the end of 2017, where do you want to be?’ And they developed the goals. We tied them back to our… the core values of the company, and all of the goals really should, and if… if they don’t then, again, maybe the core values need to change because people really should be buying into them.

BEN BOUEY: There is more compliance being driven by our clients… we are B2B…

MAN: Yep.

BEN BOUEY: …than is being driven by the regulators.

MAN: Okay.

BEN BOUEY: And so that is a great… you know, it’s something that’s on my side to assure that regardless of the regulatory environment, I think businesses have come to see the necessity of being sure that their partners are doing the right things…

MAN: Uh-huh.

BEN BOUEY: …because if you’re partnering with a firm that blows up, that can blow up a significant portion of your business.

MAN: Yep.

BEN BOUEY: And so I think that’s just been great market pressure. That has nothing to do with what goes on in Washington.

MAN: Okay.

[End of transcript]