Full Name
Alex Chan
Job Title
Director, Advisory Compliance
Company
Cetera Financial Group
Speaker Bio
Alex oversees various advisory compliance functions for Cetera. Alex helps to oversee a team responsible for the surveillance of advisor traded advisor programs monitoring for concerns such as drift, position concentration and reverse churning.
Alex also helps to ensure that advisor use of third party/turnkey asset management programs (TAMP) are consistent with Cetera’s policies. Alex also assists with the review of new vendor and TAMP offerings, helping to ensure consistency with Cetera’s risk profile.
Alex also helps to ensure that advisor use of third party/turnkey asset management programs (TAMP) are consistent with Cetera’s policies. Alex also assists with the review of new vendor and TAMP offerings, helping to ensure consistency with Cetera’s risk profile.
Speaking At
