compliance is my friend.

My day job deals with investments. I’m licensed to sell securities and insurance and whatnot – the rules and regulations that apply when you’re licensed are practically endless.
I have to disclose this web site, my Twitter account, my FaceBook page – anything I do that’s personal, but still public. My emails at work get saved for 5 years, searched for key words; and everything gets copied, scanned, approved, filed, and documented…
Once a year, we get a visit from our Compliance Department. They come through, look at customer files, ask us questions, make sure everything is on the up and up. Usually we get visited by Tom and Rex – our 2 Compliance Gurus. It’s pretty natural to dread these visits – they must know that their names don’t always elicit a whole lot of excitement (poor guys)… yet they are 2 of the best guys you could know.
I’ve tried to adopt a motto over the years of “Compliance Is My Friend.” They don’t want to bust me – they want to keep me out of the ditches. Sometimes they do end up busting me, but fortunately it hasn’t happened too often.
So last week when we got our annual visit from Compliance, I decided to invite them to lunch. We had a good time! Well, I had a good time, I hope they did too. They told me that they don’t get invited out that much but I think they still manage to eat pretty well while they travel. (And WE’VE never been invited out by THEM, ahem…)
Tom and Rex are 2 really nice people. I share some common experiences with each of them, and we’re all fairly particular about our record-keeping; in some ways we have similar personalities.
During our lunch, we talked about movies. I asked them what some of their favorite movies are – and got really different responses from both of them…

Rex
The Searchers
Red River
El Dorado
Random Harvest
North By Northwest

Tom
Animal House
Star Wars, episodes IV, V, VI
The first 3 Raiders of the Lost Ark movies
He even admitted to liking romantic comedies…

So, now you have a brief introduction to the Compliance Department. Remember, they are your friend.

tom, ace, rex.
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