The legal and compliance department is responsible for the development, implementation and enforcement of FIS Group’s policies and procedures relating to ethics and compliance requirements, including the firm’s Compliance Manual, Code of Ethics and other supervisory procedures, as well as educating the firm’s personnel on compliance policies and best practices. In addition, this department negotiates contracts with the firm’s clients, sub-advisors and vendors and manages any litigation involving the firm.

Shelley Simms Reed

Elisha Jennings

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