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Compliance & Risk
Our Compliance & Risk teams develop and maintain business risk management procedures to identify, reduce and measure the risk exposure of the firm and its broker-dealers. Departments include Branch Examinations, Supervision, Internal Audit, Regulatory Affairs, Surveillance, Advertising Review and Anti-Money Laundering.
“I was sold on the organization because of its culture and commitment to invest in its employees.”
— Walter, Supervision
“Management here believes in change and new ideas, so someone who wants to work here should have innovation as part of their daily thought process.”
— Kavita, Supervision
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