Providence Compliance is a continuing education provider dedicated to delivering practical, relevant compliance training for investment advisory professionals. Founded and led by principal instructor Jaye Faggett, our programs are built on more than 20 years of real-world experience across every facet of RIA compliance and regulation.
Our Instructional Philosophy
What sets our continuing education courses apart is the breadth of perspective we bring to every lesson. Our curriculum is informed by direct experience as a regulator with state securities agencies and FINRA, as a compliance officer implementing programs in the private sector, and as a consultant working alongside RIA firms of all sizes. This comprehensive background allows us to teach not just what the regulations require, but why they exist and how to apply them effectively in your daily practice.
What You'll Learn
Our continuing education offerings are designed to help compliance professionals, investment advisers, and firm principals:
Our Commitment to Quality Education
Our mission is to provide continuing education that goes beyond checking a box. We believe compliance professionals deserve training that enhances their expertise, builds their confidence, and equips them with tools they can immediately apply in their firms. Every course we develop reflects our commitment to delivering education that matters.
