Interview with Cory Roberson, Founder and CEO with FIN Compliance

Cory Roberson serves as the Founder/CEO of FIN Compliance (FinCompliance.io), a comprehensive consortium specializing in compliance, consulting, and training management solutions tailored to assist boutique investment firms in structuring, maintaining, and enhancing their internal regulatory review programs.

In collaboration with partner brands like FIN Disclosure, Lancer, and Auditor, Cory addresses compliance, consulting, disclosure, and training challenges within the broader financial services ecosystem. This ecosystem encompasses investment advisors, Broker-Dealer (hybrids), auditors, and financial service consultants.

Cory is a member of the National Association of Insurance and Financial Advisors (NAIFA). His firm, FIN Compliance, has earned recognition with the National Association of Personal Financial Planners (NAPFA), the Association of African American Advisors (ÁAAA), Kitces.Com Advisor Tech Directory, and has been featured in various articles in Financial Planning Magazine.

Cory has also been a featured speaker at notable events, where he has engaged in discussions such as “RegTech & The Current State of the Compliance Ecosystem” at the FinTech Diaspora Forum, sponsored by Prohaus VC, The Fintech School, and Innovate the Next. Additionally, he has spoken on “RegTech: Re-Engineering Compliance for Wealth Managers and Financial Advisors” during the ICO4Impact Virtual Summit, sponsored by Beyond Capital Markets. His previous publications include an article titled “Raising the Bar for Compliance: 10 Tips for Practice Management,” which was featured in a Financial Planning Association – Silicon Valley (FPA) newsletter in 2014.

Impact:
Over the course of 15 years, Cory has devoted his time to volunteering with three church ministries, school programs, and currently a youth-based organization in Fairfield (“Leaders of Men”). As a part his past global projects, Cory has held business sessions and classroom instruction for stud