Live Webinar
Best Practices
Scaling Compliance as Your RIA Grows
Tuesday, October 20, 2026 @ 2:00 PM ET
PRESENTED BY
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ABOUT THIS WEBINAR
Growth brings new opportunities for RIAs, but adding advisors and clients can also create more complexity for compliance teams. Without consistent processes in place, keeping up with supervision can quickly become a challenge.
Join Wealthbox and COMPLY for a practical look at how growing RIAs can build more scalable compliance processes. We’ll explore how standardized workflows in Wealthbox, combined with COMPLY’s oversight tools, can help firms maintain consistent supervision as they grow, without adding unnecessary manual work or headcount.
Join Wealthbox and COMPLY for a practical look at how growing RIAs can build more scalable compliance processes. We’ll explore how standardized workflows in Wealthbox, combined with COMPLY’s oversight tools, can help firms maintain consistent supervision as they grow, without adding unnecessary manual work or headcount.
WHAT WE'LL COVER
- 1 Standardizing key processes and workflows as your firm adds advisors and clients
- 2 Creating greater consistency across teams with repeatable workflows in Wealthbox
- 3 Strengthening oversight and visibility with COMPLY’s compliance tools
- 4 Reducing manual work across day-to-day compliance processes
- 5 Building a more scalable approach to supervision without adding headcount
SPEAKERS
Meghan Campbell
Partnerships Manager
COMPLY
Chris Kopanski
Head of Customer Education
Wealthbox
“We are excited to integrate with Wealthbox to provide registered investment advisors with solutions to efficiently run their practice.”
