Let’s talk about how to prepare for Fit and Proper interviews with regulators. First of all, these interviews don’t happen always. In fact, they are more likely to happen if this is your first-time MLRO, Director, or Board Member role and you are relatively young. In many cases, regulators have Read more…
If you’ve been asked to attend an interview with a regulator, don’t panic! In this episode, I share my advice on how to approach these interviews and the types of questions to expect. If you found value in this episode, I would really appreciate it if you could leave a Read more…
This is the time of the year when many FinTech startups are writing up various mandatory reports and preparing for annual reviews and inspections. Compliance reporting generates and keeps up-to-date a lot of mandatory documents that you send to your board, investors, regulators, and auditors, but despite the fact that this Read more…
Many people who recently lost jobs at BlockFi, Crypto.com, Celcius, Stripe, and PayPal find it hard to secure new jobs because of THIS. Several of my clients are hiring for various roles and they asked me to interview their finalist candidates. It just so happened that all of the candidates I Read more…
After speaking to many people who have lost their jobs due to FinTech company failures, I was motivated to create the Compliance Collective to help people in that position understand their value and get back on their feet. Tune in today to hear the reasons behind the job losses in Read more…
Many FinTech experts who are my customers and students often ask me questions that have very little to do with compliance and everything to do with “political” situations at work, time and budget constraints, and assessment of risks and consequences. Hundreds of compliance experts joined my workshops, and many of Read more…
You know what almost all compliance officers REALLY want? They want to work on cool innovative projects, they want to work with simple tools, they love learning new things and they want to be appreciated for what they do. It’s that simple. 😉 But… What do they believe? What shapes their Read more…
After a couple of articles on why compliance people are sometimes underpaid and how they can make more money, I got so much feedback and input so I decided to expand the topic and make it a bit more comprehensive. How much do people pay Compliance Officers? 💰 Junior compliance employees Read more…
I’d like to share with you some ideas on how to interview compliance officers. Here is what you can ask: 1. I’ve read your CV (or you have been referred by XXX) and it looks impressive. But what defines you as a person? What drives you? (It’s a different way Read more…
This episode of Compliance That Makes Sense was inspired by interactions that I recently had with two of my clients, both of whom were having problems with the compliance experts they had hired. The information I am going to share with you today will help you to avoid making the Read more…