How to Conquer the Compliance Beast

ProudMouth
1 min readOct 24, 2023

If you’re like most financial advisors, you may be hesitant to launch your podcast and engage in influence-building activities because you’re afraid of compliance issues.

But here’s the thing: not only is it entirely possible to remain fully compliant, but it’s also relatively easy to establish a stronger rapport with your compliance department. Move them from foe to friend!

In this episode, Matt Halloran is joined by business partner Kirk Lowe to discuss the critical topic of compliance in the financial advisory industry. They share their personal experiences through the years, what’s gotten better and worse, and offer some practical strategies and best practices to adjust course and work with them.

Matt & Kirk discuss:

  • Why (and how!) you need to shift your thinking about compliance
  • Ways to make the compliance department love you, and why it’s better to be friends than enemies
  • How to ask second- and third-level questions when dealing with compliance for a better relationship and faster approvals
  • Which two podcasting platforms are most compliance-friendly, and the one social media platform that is not compliant
  • Why you shouldn’t “poke the honey badger”, and other things to avoid
  • The four areas of redundancy built into the ProudMouth creation system

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