Professional Execution and Support
Simplicity Wealth’s practice management support provides simple integration of the platform into an independent financial advisor’s business. This efficiency works to help increase profitability, as well as reduce time, energy, and capital. Simplicity Wealth’s wide-ranging support includes access, training, operations, and compliance.
Financial advisors have direct access to Simplicity Wealth’s investment team as well as financial planning…
Financial advisors have direct access to Simplicity Wealth’s investment team as well as financial planning, graphic design, operations, and compliance consultants as needed. This allows advisor partners to expand their capabilities across a variety of functional areas without the associated costs of direct hires.
Training is available in multiple formats. The Simplicity Wealth resource center provides an e-learning environment…
Training is available in multiple formats. The Simplicity Wealth resource center provides an e-learning environment that can be accessed at any time and includes items that can be used during each stage of the client relationship. In addition, Simplicity Wealth offers group training and personalized coaching which delivers guidance, best practices, and repeatable processes that have been effectively implemented by successful advisors.
Simplicity Wealth advisor partners receive access to a fully managed, turnkey compliance system including:
Compliance Submission Platform
Designed to provide an efficient system to submit ongoing compliance requests for review and documentation.
Includes all necessary compliance oversight including branch audits, compliance testing, and maintenance of all books and records.
Includes errors and omission (E&O) insurance for investment-related activities as well as cyber security insurance
Includes all necessary technology to oversee email, social media, website, and digital communications.
Simplicity Wealth offers a variety of resources to reduce compliance-related costs as well as strengthen compliance programs including:
Designed to provide critical parameters around books and record workflows as well as required document retention.
Designed to concisely educate on best practices related to key compliance topics.
Includes an additional layer of compliance support by coordinating with compliance consultants or internal compliance team members to help navigate the regulatory environment.
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