Navigating Compliance with Confidence: A Q&A with the Quik! IT Director

Compliance management in financial services is riddled with inefficiencies that erode trust and slow operations.

Incomplete or incorrect forms can lead to violations, rejected submissions, and costly delays—hurting both client experience and team productivity. And with the regulatory landscape constantly evolving, staying compliant can feel like a never-ending struggle.

But what if there were a better way? To explore how Quik! helps firms simplify compliance, we sat down with Director of IT Jeff Hunt to get his take.

Jeff Hunt, Director of IT at Quik!

Q: Jeff, from your experience, what are the biggest compliance challenges financial advisors face today?

A: Compliance is essential in the financial services industry, but it’s a constantly moving target. Advisors are often overwhelmed by evolving regulations, mountains of documentation, and the ongoing need to protect sensitive client data.

It’s a lot to juggle. Keeping up with rule changes, accurately completing forms, and maintaining data security can feel like a constant uphill battle. These challenges can lead to violations, wasted time, and strained client relationships. That’s where Quik! makes a real difference.

Q: How does Quik! address these challenges and help advisors stay compliant?

A: Quik! is the essential forms processing solution for financial services professionals, built with advisors in mind. Think of Quik! as your digital assistant—accurately pre-filling forms, minimizing common errors, and helping ensure everything’s complete before submission.

We stay ahead of the changes that impact form compliance—updating forms across our entire library so advisors don’t miss a beat. Plus, Quik! integrates with the systems firms already use, which helps eliminate tedious manual tasks and frees advisors to focus on client relationships.

In short, we take the stress out of compliance so firms can focus on what matters most.

Q: Can you share a specific example of how Quik! helped a client avoid a compliance issue?

A: Definitely. When the SEC introduced Regulation Best Interest (Reg BI), it triggered significant changes to many financial forms. We proactively updated our forms library to align with Reg BI—before customers had to ask.

That helped them stay compliant with zero disruption. We provided proactive support and helped customers adapt seamlessly—minimizing disruption and reducing NIGOs.

Q: Jeff, Quik! is SOC 2 compliant. What does that mean for clients, and why is it so important?

A: SOC 2 Type 2 is a major achievement in data security. It means we passed a rigorous third-party audit that confirms our systems meet the highest standards for privacy, security, and availability.

For our customers, that means peace of mind. They know their data—and their clients’ data—is protected by enterprise-grade safeguards.

Q: How do you see compliance evolving, and how is Quik! positioned to support firms in the future?

A: Let’s be honest—compliance isn’t getting any easier. New rules, new technologies, and increased regulatory scrutiny are the norm. That’s why we’re continually evolving our products—adding features that reduce manual effort and compliance risks.

We’re constantly improving our products, incorporating the latest technologies — things like AI-powered features on our FormXtract solution — to make compliance even easier for our customers. Our mission is to give advisors the tools they need to navigate this ever-changing world, so they can focus on building relationships and helping their clients achieve their financial goals.

Want to simplify compliance and reduce the risk of NIGOs?

Let’s talk about how Quik! can help.