Pros
Access to industry tools and platforms common in the independent broker-dealer space • Some flexibility depending on role and team • Opportunity to gain exposure to compliance and licensing processes
Cons
Workplace environment felt uncomfortable at times due to inappropriate comments and behavior that crossed professional boundaries • Concerns about how issues related to professionalism and conduct were handled (or not handled) • Ethical standards felt inconsistent with what I would expect from a firm responsible for client assets and regulatory compliance • Culture appeared more focused on protecting the firm than addressing employee concerns • Lack of transparency and accountability when questions were raised The compliance department has been a mess for many many many years. Largely due to the former CCO and her inability and lack of experience. Every day, firms are upset about the tools they provide, and are secretly planning to jump ship among other reasons, like many employees here. Morale isn’t good at all.