Littleton, Colorado, 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., with the JH Award.
The JH Award, named after NSCP’s former executive director, Joan Hinchman, was created to honor a member of the financial services industry who (1) displays a strong commitment to excellence, (2) consistently strives to enhance the compliance profession through their involvement and participation with the NSCP, (3) displays a positive attitude and has a commendable can-do approach, and (4) distinguishes themselves as a key figure in the compliance community.
The NSCP feels that Jane Riley personifies each of these qualities.
“I am honored to be recognized by my compliance peers with the JH Award,” said Jane Riley. “I have met so many incredible people that went on to become mentors for me.”
In years past, Jane has chaired the Publications, Conferences and Roundtables Committees and served on NSCP’s board of directors from 2011-2017, serving as Chairwoman in 2015. As Board Chairwoman and board alum, Jane presented the first JH Award and has advocated on behalf of NSCP members in 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 NSCP, Jane has become a friend, confidant, and mentor to countless professionals within the financial services industry.
The Leaders Group (TLG) is a national, independent broker-dealer, and TLG Advisors (TLGA) is an SEC-registered investment advisory firm, both located in Littleton, Colo. TLG has more than 25 years supporting BGAs, financial professionals and fee-based advisors 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 of “Doing the right thing is always the right thing,” the firm offers business-friendly compliance – something that industry professionals can appreciate. Jane believes that compliance is intended to enable businesses, not get in the way. She empowers the firm’s financial professionals to operate in clients’ best interests and helps them do so in a manner compliant with regulatory rules and guidance.
“Regulations are being proposed more rapidly than ever before, and that creates ever-evolving policies and procedure creation,” said Jane Riley. “Through NSCP, I have built networking relationships that have given me access to the best and brightest in the compliance world. NSCP has helped shape me into a competent compliance professional and saved the company thousands of dollars in legal and consulting fees.”
TLG also offers proprietary customer relationship management (CRM), diligent product research, and client account management and financial planning. An industry-leading product shelf features a broad range of investment strategies, acting on the firm’s goal to allow partners the freedom to serve clients’ best interests and protect the relationships they have previously established with familiar carriers and product sponsors.
Thanks in large part to Jane Riley’s leadership in compliance, TLG continues to expand its imprint, ranking as the fourth fastest-growing IBD in overall revenue in InvestmentNews’ latest annual IBD survey. The firm saw a 34.6% increase in revenue from 2020 to 2021.[1] It is also in the top 30 of InvestmentNews’ broker-dealers ranked by pre-tax earnings.[2]
The 2022 ranking marks four consecutive years of recognition as one of the publication’s top IBDs. Data is collected from firms that participated in InvestmentNews’ annual IBD surveys.
"Our growth is not just a matter of chance,” says Jane Riley. “Our goal is to provide extraordinary service, expertise, and flexibility to all those affiliated with us, and that vision is reflected in our growth. Our financial professionals and product partners confidently recommend The Leaders Group to others in the industry."
TLG Advisors has more than 20 years of experience in the industry and provides investment supervisory services, investment advisory account management, web-based investment platforms, and financial planning 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 allow it to grow and better serve clients.
"I am so happy to see Jane receiving this award,” said Sean Wickersham, president of The Leaders Group. “She has given so much insight and mentorship to not just The Leaders Group and our reps but to the broader industry. There are very few people as deserving of this recognition."
Testimonials from Leaders Group and TLGA representatives consistently exalt Jane and her compliance department’s commitment to enabling them to run their businesses compliantly and successfully. The firms and their affiliates look forward to continued prosperity in the coming years.
About the National Society of Compliance Professionals
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is “For Compliance, By Compliance”. NSCP membership provides financial services compliance professionals with a wide range of compliance resources, continuing education to further their knowledge and specialized 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 The Leaders Group, Inc.
Founded in 1994 by the late Dave Wickersham, The Leaders Group, Inc. is a national, independent broker-dealer and member of FINRA. The Leaders Group’s mission is to provide extraordinary service, expertise, and flexibility to our financial professionals, wholesale organizations, and industry partners. The firm 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 clients.
For more information, visit www.leadersgroup.net.
About TLG Advisors, Inc.
TLG Advisors, Inc. (TLGA) is an SEC-registered investment advisory firm with more than 20 years of experience in the industry. TLGA provides investment supervisory services, investment advisory account management, web-based investment platforms, and financial planning to individuals and entities. These services are provided through independent Investment Advisor Representatives (IARs) who are affiliated with TLGA and third-party money management firms. Starlight Portfolios, TLGA’s online investment management platform, assists IARs by providing investors with an easy-to-use online experience to manage 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
