The Compliance and Legal Team at First Trust Portfolios ensures that all company operations adhere to regulatory standards and legal requirements. This team is responsible for developing compliance policies, conducting audits, overseeing legal documentation, and providing guidance on regulatory matters, thereby safeguarding the firm's integrity and minimizing legal risks. Their collaborative efforts help maintain a transparent and ethical business environment across the organization.
Daniel McGarry
Compliance Associate
Erik Jackson
Chief Compliance Officer
Jessica Giudice
International Tax Accountant
Jonathan Hall
Deputy Chief Compliance Office...
Kristi Maher
Deputy General Counsel
Lashonda Parks
Deputy Chief Compliance Office...
Mark Redman
Compliance Technology
Nicole Kempski
Tax Accountant
Renee Lorek
Legal Secretary
Renee Lorek
Legal Administrative Assistant
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