Compliance

Be a part
of the team
that ensures
our excellence

Compliance & Risk careers at Advisor Group

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.

Advisor Group employee testimonial: Walter, Supervision VP

“I was sold on the organization because of its culture and commitment to invest in its employees.”

— Walter, Supervision
Advisor Group employee testimonial: Kavita, Supervision Program Manager

“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