Growing Your Financial Advisory Practice | Insights For Financial Advisors, Planners And Investment Managers

Compliance has a bad rap in the financial services industry, but today’s guest has a unique perspective. Now a compliance officer, he actually started his career in the financial services industry as an advisor, so he understands exactly how compliance affects—and can even improve—your business. He’s also passionate about helping advisors run their own independent practices while staying compliant.  Joining the podcast today is Eric Wachtel. Eric is the national chief compliance officer for IDC WIN where he is responsible for maintaining and strengthening IDC WIN’s compliance programs and initiatives. He has 24 years of experience in the life insurance industry and has worked steadily to build IDC WIN’s compliance programs while maintaining a pro-business environment. Eric is also the compliance chair of Legislative Affairs for the Canadian Association of Independent Life Brokerage Agencies (CAILBA) where he participates in numerous insurance industry working groups an