Compliance and Risk Management

The Compliance and Risk Management team at American Portfolios ensures the company adheres to regulatory standards and mitigates potential risks. This includes overseeing compliance with FINRA and SEC regulations, managing information security protocols, conducting risk assessments, and implementing strategies to safeguard client investments. The team consists of compliance officers, security managers, business analysts, site reliability engineers, and investment managers working collaboratively to maintain the integrity and security of the firm's operations.