We are in the middle of onboarding someone who has close to zero experience in financial services for a client service administrator job. They have picked up the systems, culture and other internal topics well, but still makes occasional mix-ups mostly due to lack of experience. One example was getting mixed up by a beneficiary on an account vs. beneficial ownership of a corporate account. Has anyone found solid, PDF resources, guides, industry vocabulary, checklists, etc that would help a person in this situation? We've attempted to create a few on our own but would benefit from outside resources that could be kept at a desk or pinned to a bulletin board for quick reference.

We're a State registered RIA and I am not overly please with our current compliance firm as they have been tremendously slow to deliver my mock audit report. I was audited by the regulators and passed with flying colors without the support of the compliance firm. Per the State I had everything I needed. I am really looking for someone I can outsource my annual ADV filings, updates, someone I can call to ask questions, etc. I don't need a CCO or monthly compliance support subscription. I appreciate any recommendations.

Hello! Our firm made the decision this week to switch to Wealthbox. Our current/soon to be old CRM is SmartOffice which is very antiquated. The style guide template is very helpful in prepping how we want to organize our data. My question to the group is how do you utilize/determine what's best to be a client category (ex Client - Tier 1) verse using a tag? Our firm has 3 different planning options, manage assets (some clients have planning some don't), and insurance only clients. Thinking through the best way to optimize categories and tags. Thank you for the insight!

For those of you using AI for note-taking, do you require your client's consent before recording? We are putting together an AI Use Policy and are curious how others are handling this. Thanks.

which one do you use for email archiving and why?