Society management

Jane Riley wins National Society of Compliance

Littleton, Colo., Nov. 10, 2022 (GLOBE NEWSWIRE) — In October, the National Society of Compliance Professionals (NSCP) presented Jane Riley, Chief Compliance Officer of The Leaders Group, Inc. and TLG Advisors, Inc., the JH Prize.

The JH Award, named after former NSCP Executive Director Joan Hinchman, was created to honor a member of the financial services industry who (1) demonstrates a strong commitment to excellence, (2) s constantly strives to improve the compliance profession through its involvement and participation in the NSCP, (3) displays a positive attitude and has a commendable positive approach, and (4) distinguishes itself as a key figure in the compliance community.

The NSCP believes that Jane Riley personifies each of these qualities.

“I am honored to be recognized by my peers for compliance with the JH Award,” said Jane Riley. “I’ve met so many amazing people who have become mentors to me.”

In past years, Jane has chaired the Publications, Conferences and Roundtables Committees and served on the NSCP Board of Trustees from 2011-2017, serving as Chair in 2015. As Board Chair and former an advisor, Jane presented the inaugural JH Award and advocated on behalf of NSCP members at regulatory meetings with FINRA, SEC, DOL, NASAA and, most recently, the Government Accountability Office. She is a frequent speaker at NSCP conferences and has written numerous articles for NSCP’s monthly publication, NSCP Currents. Through years of volunteer work with the NSCP, Jane has become a friend, confidante and mentor to countless professionals in the financial services industry.

The Leaders Group (TLG) is an independent national broker-dealer, and TLG Advisors (TLGA) is an SEC-registered investment advisory firm, both located in Littleton, Colorado. advisors based in the wealth management industry. Jane has been with The Leaders Group since 1998 and continues to uphold The Leaders Group’s philosophy of facilitating compliant business.

Guided by the motto “Doing the right thing is always right”, the firm offers business-friendly compliance, which industry professionals can appreciate. Jane believes that compliance is about enabling businesses, not hindering them. It empowers the firm’s financial professionals to operate in the best interests of clients and helps them do so in a manner that complies with regulatory rules and guidelines.

“Regulations are being proposed faster than ever before, creating ever-changing policies and procedures,” said Jane Riley. “Through the NSCP, I have formed networking relationships that have given me access to the best and brightest in the compliance world. The NSCP has helped me become a competent compliance professional and enabled save the company thousands of dollars in legal and advisory fees.”

TLG also offers proprietary customer relationship management (CRM), diligent product research, as well as customer account management and financial planning. An industry-leading product line offers a wide range of investment strategies, acting on the company’s goal of giving partners the freedom to best serve clients’ interests and protect relationships. ‘they previously established with familiar product carriers and sponsors.

Thanks in large part to Jane Riley’s leadership in compliance, TLG continues to expand its footprint, ranking as the fourth fastest growing IBD by overall revenue in InvestmentNews’ latest annual IBD survey. The company saw its revenue increase by 34.6% between 2020 and 2021.[1] He is also in the top 30 of InvestmentNews’ brokers ranked by pre-tax income.[2]

The 2022 ranking marks four consecutive years of recognition as one of the publication’s top IBDs. Data is collected from companies that participated inInvestmentNews’annual IBD surveys.

“Our growth isn’t just a matter of luck,” says Jane Riley. “Our goal is to provide extraordinary service, expertise and flexibility to all who are affiliated with us, and this vision is reflected in our growth. Our finance professionals and product partners confidently recommend The Leaders Group to d other industry players.”

TLG Advisors has over 20 years of industry experience providing investment supervision, investment advisory account management, online investment platforms and financial planning services to individuals and entities. TLGA is committed to providing a range of assistance including education, technology and support services tailored to meet the needs of its financial advisors. The firm’s goal is to find the right solution for each practice to enable it to grow and better serve its clients.

“I’m so happy to see Jane receive this award,” said Sean Wickersham, Chairman of Leaders Group. few people as deserving of this recognition.”

Testimonials from Leaders Group and TLGA representatives consistently exemplify Jane’s and her compliance department’s commitment to enabling them to run their businesses compliantly and successfully. The companies and their affiliates expect continued prosperity in the years to come.

About the National Society of Compliance Professionals
The National Society of Compliance Professionals is a nonprofit organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP stands for “For Compliance, Through Compliance”. Membership in the NSCP provides financial services compliance professionals with a wide range of compliance resources, ongoing education to deepen their specialist knowledge and skills, and regulatory involvement through representation of compliance interests. NSCP members have access to a diverse community of compliance professionals who willingly share their knowledge and expertise.

For more information, visit www.nscp.org.

About Leaders Group, Inc.
Founded in 1994 by the late Dave Wickersham, The Leaders Group, Inc. is an independent national broker and member of FINRA. The Leaders Group’s mission is to provide extraordinary service, expertise and flexibility to our finance professionals, wholesale organizations and industry partners. The company envisions an industry where the complexities of doing business are simplified and relationships are developed and aligned to deliver the highest level of service to customers.

For more information, visit www.leadersgroup.net.

About TLG Advisors, Inc.

TLG Advisors, Inc. (TLGA) is an SEC-registered investment advisory firm with over 20 years of industry experience. TLGA provides investment supervision, investment advisory account management, online investment platforms and financial planning services to individuals and entities. These services are provided through Independent Investment Advisors (IARs) who are affiliated with TLGA and third-party fund management companies. Starlight Portfolios, TLGA’s online investment management platform, helps IARs by providing investors with an easy-to-use online experience for managing personal financial matters.

For more information, visit www.tlgadvisors.net.

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[1] https://www.investmentnews.com/galleries/10-fastest-growing-ibds-4/image/8

[2] https://digitaledition.investmentnews.com/publication/?m=62585&i=746142&p=14&ver=html5