The inspiration for this posting is based on a close personal friend that is living through a return to office experience that has them questioning their relationship with their current employer. They have been in the office for most of the post pandemic shut down, and as a reward they were given a daily dedicated …
Category archives: Personal Website
The Four People You’re Actually Leading
Here’s something that surprised me early in my career: the people I was responsible for “leading” were often not my employees. Let me set the background story. As a junior compliance officer, I had to explain to a veteran stockbroker they were offside on a margin call and had to pay up, and it was …
The Self-Reporting Test
Here’s a question I would ask risk and compliance leaders I’ve work with, or just a general question for all compliance and risk management leaders. If one of your advisors or staff members made an honest mistake today — a trade error, a client conversation that missed the mark, something that could turn into a …
The Near Miss Your Board Report Never Sees
Every client interaction lives somewhere on a sliding scale. On one end, it’s simple: a question answered, a form processed, a call resolved in five minutes. On the other end, it’s messy — an aggrieved client, a regulator’s phone call, a lawsuit. Most of what crosses an advisor’s desk sits comfortably in the middle, and …
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Responsibility: Own It — Or Pass It On
I might be showing my age here — or maybe just leaning into a bit of nostalgia — but I’ve been thinking a lot about responsibility lately. Not in a legal sense. Not in a job-description sense. But in a personal, lived-experience sense. The mainstream media headlines speak to this post. When I was starting …