Annual Compliance Meeting
November 5 | 10:00 a.m. Mountain
Moderator – Jane Riley, Chief Compliance Officer
At The Leaders Group, the overarching motto “doing the right thing is always the right thing” guides our business operations and decision making. Chief Compliance Officer Jane Riley abides by this principle and discusses how we can all conduct compliant business, particularly in the new era of Regulation Best Interest. Attendance at the Compliance Meeting is mandatory for all reps with The Leaders Group and will be available on November 5.
Jane is Chief Compliance Officer for The Leaders Group and TLG Advisors and has been with the company since 1998. She upholds The Leaders Group’s philosophy of facilitating compliant business and also strives to know each representative with the firm, making sure each one is treated as a person, and not a number. Prior to joining Leaders, Jane spent 15 years in advertising and real estate sales, so she understands the challenges registered representatives face. Jane holds numerous FINRA designations as well as the exclusive Certified Securities Compliance Professional designation. She is actively involved in local regulatory affairs and is chair and founding member of the Denver Compliance Roundtable.
In her free time, she enjoys watching sports, reading, cooking and spending time with her husband and sons. Jane has a B. A. in Technical Journalism from Colorado State University.
About The Leaders Group, Inc.
The Leaders Group is family-owned, and is dedicated to providing the best customer service in the industry. We never lose sight of who makes us great, and treat you as an extension of our family. Our experienced management team is committed to providing you with the knowledge and guidance you need to succeed.