• Registered Investment Advisor Podcast

  • By: Seth Greene
  • Podcast

Registered Investment Advisor Podcast

By: Seth Greene
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  • Summary

  • The Registered Investment Advisor podcast is a financial services marketing podcast for every financial service from insurance to investment advising. Host Seth Greene is a nationally recognized direct response financial services marketing expert. Guests on the RIA Podcast will include experts in the insurance marketing field. In each interview, they share financial tips and tricks to help other people in financial services and producers to up their game.
    Copyright 2021 Insurance Marketing Organization Podcast |Seth Greene |All Rights Reserved.
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Economics Marketing
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Episodes
  • Episode 182: Navigating Financial Crime Compliance with AI

    Episode 182: Navigating Financial Crime Compliance with AI
    Nov 27 2024
    An academic-turned-practitioner, Michelle Frasher, PhD, CAMS brings over 20 years of subject expertise in geopolitics, finance, terrorism, and data privacy with leadership experience in leading multi-disciplinary teams to build AML/CFT and Sanctions compliance products and services for a global clientele. She is currently the Head of Compliance and Regulatory Strategy at the AI regulatory technology firm, Silent Eight, and previously held key leadership positions at LexisNexis Risk Solutions as Director of Global Content for WorldCompliance, and Sr. Director of Financial Crime Compliance Practice at Moody’s Analytics, where she led program implementation, regulatory analysis and engagement, product development, and client consultations on best practices across multiple business lines and sectors. An experienced speaker and author, Dr. Frasher’s work has been featured in Harvard Business Review, American Banker, CoinDesk’s Consensus, and SWIFT’s Sibos, among others. She is an expert with the EU AML/CFT Global Facility on Beneficial Ownership, Privacy and Data Sharing, an external analyst with Oxford Analytica, a Forbes Business Council Member, and a standing member of the Privacy Research Group at the NYU School of Law. Frasher earned a PhD in history focusing on International Political Economy from Texas A&M University, holds multiple MA and BA degrees in political science, history, and foreign languages, and is a Certified Anti-Money Laundering Specialist. In 2014, she was Fulbright-Schuman Scholar to Belgium and Malta (sponsored by the US State Department and European Commission) on US-EU financial data sharing for transatlantic counter-terrorism cooperation. Listen to this insightful RIA episode with Dr. Michelle Frasher about navigating financial crime compliance with AI. Here is what to expect on this week’s show: - How Silent Eight uses human-centered and explainable AI to help global banks detect and manage risks related to money laundering, financing terrorism, and sanctions. - How Silent Eight’s AI solutions provide a comprehensive audit trail, ensuring transparency and regulatory compliance. - Why it’s critical to translate complex regulations into actionable policies and procedures for financial institutions. - How the new AML/CFT regulatory rules for RIAs take effect on January 1st, 2026, with significant implications for the industry. - How the evolving regulatory environment underscores the need for RIAs to enhance their compliance procedures and staff training. Connect with Dr. Frasher: Links Mentioned: https://www.silenteight.com/ X: @_SilentEight LinkedIn: linkedin.com/company/silenteight Learn more about your ad choices. Visit megaphone.fm/adchoices
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    17 mins
  • Episode 181: Building a Global Residential Credit Empire: The Palisades Story

    Episode 181: Building a Global Residential Credit Empire: The Palisades Story
    Nov 20 2024
    Hasseeb Rahman is Portfolio Manager at The Palisades Group and has been with the Firm since 2014. He is responsible for overseeing the deployment and management of various fund strategies and vehicles, ensuring their effective implementation. As co-leader of the Portfolio Management Team, Mr. Rahman plays a vital role in shaping and executing the Firm's investment strategy. Additionally, he has been actively involved in all aspects of People Operations at the Firm. Prior to joining Palisades, Mr. Rahman worked as a Senior Analyst in the Investment Banking Division at Raymond James. During his tenure there, he executed transactions within the Financial Institutions Group, focusing on the Asset Management, Banks, and Insurance sectors. Mr. Rahman's transaction experience includes advisory services for private equity and debt placements, sell-side and buy-side advisory, as well as public debt and equity transactions. He earned a BA in Applied Mathematics from Washington University in St. Louis. Listen to this insightful RIA episode with Haseeb Rahman about building a global residential credit empire. Here is what to expect on this week’s show: - How Palisades operates with two main business verticals: advisory services for large institutions and discretionary capital vehicles. - How Palisades’ funds are structured as close-end private equity-style vehicles with typical investment periods of 2-3 years and harvesting periods of 3-4 years. - Why Palisades may explore more permanent capital vehicles in the future, like open-ended evergreen funds. - How Palisades’ growth has not been linear and faced challenges before scaling through effective use of data and technology. - How the shift in the housing market has allowed Palisades to grow in a more predictable manner. Connect with Haseeb: Links Mentioned: https://www.palisades.us.com/ X: @palisades_group LinkedIn: linkedin.com/company/the-palisades-group-llc Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 mins
  • Episode 180: Your Future is Now: Lessons in Wealth Management

    Episode 180: Your Future is Now: Lessons in Wealth Management
    Nov 13 2024
    With almost twenty-five years of experience as a financial advising professional, Jeffrey Panik, MSFS, CFP® knows that his job is to help clients strike a balance between living well today and planning for the future. Throughout his career, Jeff has worked with hundreds of families, individuals, and small businesses to help them set goals, strategically manage their assets, and work toward achieving their dreams. The first in his family to attend college, Jeff believes it is imperative to start the discussion of financial literacy early to best prepare for financial success throughout life. Jeff served in the US Army after college, which, as part of his service agreement, paid the student loans he had accrued. He was honorably discharged and began working as a Financial Advisor trainee at a large brokerage firm. Though Jeff grew up in Southwestern Pennsylvania, he has lived in the Atlanta area for two decades. Jeff and his wife Rebecca currently live in Atlanta, Georgia. When he isn’t working, Jeff enjoys spending time with family, traveling, reading, and all types of sports. Listen to this insightful RIA episode with Jeffrey Panik about lessons in wealth management. Here is what to expect on this week’s show: - How the financial industry has shifted from proprietary products to a client-first approach. - Why it’s critical to stay ahead of technological changes in the industry. - How 95% of heirs lose inherited wealth because they lack financial education and literacy. - Why lifelong learning and continued education are crucial to add value for clients and to stay relevant. - How it can be difficult to stay ahead of technological advances while maintaining a personal touch with clients. Connect with Jeffrey: Links Mentioned: https://jeffreypanik.com/ Instagram: @yourfutureisnow12 Facebook: https://www.facebook.com/profile.php?id=61561132010284 Learn more about your ad choices. Visit megaphone.fm/adchoices
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    17 mins

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