Regulatory and Compliance Team

The Regulatory and Compliance Team at Compliance Exchange Group LLC is responsible for ensuring that the firm and its clients adhere to all relevant regulatory standards and compliance requirements. This team conducts risk assessments, develops compliance programs, and monitors industry changes to mitigate risks, while also providing guidance and support to broker-dealers to maintain ethical practices and regulatory adherence. Their expertise helps foster a culture of compliance within the organization, ensuring trust and integrity in all operations.