About the Team: The Compliance team covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives. …
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