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of the team

that ensures
our excellence

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
Advisor Group employee testimonial: Kavita, Supervision Program Manager

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

— Walter, Supervision VP

Hear from our employees


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 Program Manager