The Global Compliance division is dedicated to protecting the reputation of the firm and managing risk across all business areas.

Working closely with each business, our professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. We monitor regulatory trends and changes in all jurisdictions in which the firm does business, and we share information and collaborate with regulators to manage financial market risk.

Global Compliance is organized broadly into divisional compliance groups, which are embedded into the areas they support, and centralized compliance groups, which survey risks and manage regulatory affairs, services and resources related to all businesses and employees of the firm globally. These centralized groups include:

• Compliance Surveillance Strategy Group is comprised of the Anti-Money Laundering/Suspicious Activities Group, E-Communications Compliance and Global Surveillance
• Control Compliance is comprised of the Control Room, Compliance Chaperones, Regulatory Reporting and Compliance Employee Services
• Global Compliance Testing
• Global Compliance Training