How can an investment firm balance the sales force's need and will for closing a sale with ensuring they are compliant? I know there are procedures but, as a seasones financial sales professional I know the sales pressure and temptation to open an account for a "shady" investor is always there, and it can be difficult to lead a staff by injecting sales pressure while at the same time "nagging" them not to open accounts for certain individuals. My point is, managing sales and compliance can be challenging. Can you give examples to help keep the sales force motivated AND in-check?


The Themis Senate
01 Jun 2021

A: SenseCheck

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