The Synergy Compliance Podcast

Whether you're a solo advisor, part of a growing firm, or managing compliance at scale, The Synergy Compliance Podcast breaks down the latest regulatory updates, compliance best practices, and real-world challenges—without the legalese.

The Synergy Compliance Podcast is a business podcast hosted by Scott P. Gill, with 18 episodes on record and a Required Pod Score of 80. PitchCentric scores this show on Booking Probability, Listen Score, and live audience signals refreshed every 24 hours.

Scott P. Gill hosts The Synergy Compliance Podcast, a business show with 18 episodes published.

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  Episode #18

  SEC Risk Alert: Conflicts of Interest Under the Microscope

  Jul 23, 202633 minS1

  On June 9, 2026, the SEC Division of Examinations published a risk alert reminding advisers of their fiduciary duty to their clients. On this episode of The Synergy Compliance Podcast , we hear from former SEC Examiner, Andrew Schuster , on what regulatory exams look like from the other side of table, particularly in the context of the recent SEC risk alert . Andrew left the Commission to launch ClearView Regulatory Compliance , where he helps advisers prepare for SEC examinations through mock exams, exam support, and remediation built on how examiners actually assess risk in practice. Whether you've already been through an exam, or are anticipating one in the future, this is a must listen for independent RIAs. Hone your compliance strategies by listening to advice from Andrew's nearly 30 years of experience.

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  Episode #17

  Mastering Charitable Giving: IRS Rules and Donor Strategies

  Jun 12, 202626 minS1

  What does it really take to turn charitable giving into an effective, compliant strategy? In this episode, Scott P. Gill sits down with Theresa Curry , SVP of Charitable Gift Planning at Heifer International Foundation, to break down the real-world challenges behind philanthropic planning. Theresa shares practical insights on giving strategies, IRS rules, and how advisors can confidently bring philanthropy into client conversations. Along the way, they unpack why so many donors misunderstand key rules around qualified charitable donations, how last-minute giving can create unnecessary risk, and what advisors should be doing earlier in the year to stay ahead. You’ll also walk away with simple, actionable tips for navigating complex regulations, building stronger donor trust, and aligning charitable intentions with meaningful impact.

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  Episode #16

  The Compliance Risks Hiding in Your Tech Stack

  May 20, 202625 minS1

  <p>Your firm’s tech stack may be creating compliance and cybersecurity exposure, even if everything looks fine on the surface. </p><p>In this episode of The Synergy Compliance Podcast, host Scott P. Gill is joined by David Gill and Darian Powell to unpack the hidden risks of fragmented advisory firm tech stacks. Together they discuss why risks often surface at the worst possible time: during a cybersecurity incident. This conversation highlights practical lessons about visibility, ownership, and governance as firms scale. </p>

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  Episode #16

  Why Niche Clarity Feels Impossible (And Why It Matters)

  Apr 16, 202633 minS1

  <p>On this episode of The Synergy Compliance Podcast, host Scott P. Gill is joined by the founder of reframeRIA, Ryan Dau. Their conversation touches on Ryan's own journey in finding his client niche and why it mattered to the growth of his business.</p><p><br></p><p>Creating a niche isn't about limiting your business, it's about dialing in your message and operations in order to gain traction faster, differentiate with purpose, and build a brand that resonates. This is a must listen episode for business owners that are interested in sharpening their focus and scaling their practice. <...

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  Episode #14

  Strategic Operations for Compliance Task Management

  Mar 17, 202627 minS1

  <p>In this episode of the Synergy Compliance Podcast, Scott P. Gill and guest Eric Moeller, explore how operational workflows and compliance requirements are deeply interconnected. They discuss real challenges firms face when managing tasks such as mutual fund share class reviews, state client‑count tracking, and maintaining advisory contracts and IPS documentation. </p><p><br></p><p>Scott and Eric break down the impact of internal vs. external control systems, highlight common pitfalls, and offer practical insights for building stronger operational structures that support accurate, efficient, and regulator‑ready compliance programs.</p>

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