Compliance, Legal and Risk Organization

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Across
  1. 1. SVP, Head of Compliance Exams, Surveillance and Controls
  2. 2. Managing Director of Compliance, Legal and Risk
  3. 5. EVP, Chief Compliance Officer
  4. 8. VP, Compliance Operations
  5. 9. Executive Admin to CCO
  6. 10. Executive Admin to EVP, General Counsel
  7. 12. Executive Admin to Managing Director, CLR
  8. 14. Executive Admin to EVP, Government Relations & Chief of Staff and SVP of Compliance Exams, Surveillance & Controls
  9. 15. EVP, Advice, Litigation & Regulatory Strategy
  10. 16. SVP's of Business Risk Management
Down
  1. 1. SVP, Trading and Operations Compliance
  2. 3. Executive Admin to SVP MRR and SVP Advisory and Product & Platform Compliance
  3. 4. EVP, General Counsel Corporate Secretary
  4. 6. Executive Admin to EVP, General Counsel
  5. 7. EVP, Chief of Staff - CLR
  6. 9. SVP, Marketing Regulatory Review
  7. 11. Executive Admin to EVP, Chief AML Officer and SVP,Trading & Operations Compliance
  8. 12. EVP, Chief AML Officer
  9. 13. SVP, Advisory CCO & Head of Product and Platform Compliance