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#21: Finding Balance - Compliance in the Wealth Management Industry

In today's dynamic regulatory landscape, staying compliant is not just an option; financial firms must mitigate risks and safeguard their reputation. To shed light on this crucial topic, we invite you to join our recent podcast episode featuring Martin Orbach, VP, Head of Product for SS&C RCI, and Kyle Fleming, Senior Manager of Product Management for SS&C Black Diamond.

During this insightful conversation, Martin and Kyle delve into the intricacies of regulatory compliance, addressing key concerns for financial advisors, such as electronic communication surveillance, active versus passive compliance strategies, and the tools available to manage risk effectively.

Listen to the podcast now!


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Martin Orbach

Guest Speaker | VP, Regulatory & Analytic Solutions, SS&C Risk & Compliance Intelligence (RCI)

Martin leads SS&C’s Risk & Compliance Intelligence Platform (RCI), providing clients guidance and thought leadership on using surveillance technology and FINRA and SEC Regulations. Martin has spent most of his 38-year career on Wall Street as a Chief of Compliance with Broker-Dealers and Investment Advisors.

Martin is a FINRA Certified Regulatory Compliance Professional with advanced certifications from the Association of Certified Anti-Money Laundering Specialists, ACAMS.

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Kyle Fleming

Guest Speaker | Sr. Manager, Product Management, SS&C Advent

Kyle works in Product Development for SS&C Advent, with a focus on the Black Diamond Wealth Platform. Kyle has worked in the financial technology space for over 12 years and specializes in product strategy, product marketing, new ventures, and cross-platform initiatives. Kyle also spends his time consulting and working with the users of SS&C Advent Products to understand their needs and the problems they face. Kyle leads a team of Product Managers on a mission to create valuable software and experiences for wealth managers and their clients.

Kyle is a CFA® charter holder, a member of the CFA Institute and CFA Society of Jacksonville, FL, and a proud alumnus of the University of North Florida.

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Jasmin Conner

Host | Sales Engineer, Black Diamond, SS&C Advent

Jasmin Conner is a Sales Engineer for Black Diamond, an SS&C Advent company. She has an extensive background in working with wealth management to understand their unique business and technology needs and provide tailored solutions and services to meet those needs.

Based out of the great city of Jacksonville, FL, Jasmin enjoys spending quality time with her family, volunteering in her community, and exploring her interests in economics, history, and art.

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Trent Berry

Host | SS&C Advent

Informally known as ”The Voice of University,” Trent Berry joined SS&C Advent at the turn of the century in 2000, having previously worked in Support and Consulting before occupying his current long standing role as Advent’s Senior Instructional Designer As such, he is responsible for client and employee training for products such as APX, Axys, and Geneva. In his spare time when not working or perfecting French cooking techniques in his kitchen,

Trent owns and operates Dreamrack Studios, a professional recording studio in San Francisco where he can be found producing and engineering music for various artists.