With Edward Jones they have a compliance division that oversees all of their financial advisors and home office associates. ... If an associate of the company sees another being unethical maybe with a client or just in general this is where they can call unanimously to let the company know what is going on outside of the office doors. ... At SRC they have an open door policy, to were at any point in time an employee can come in and talk to their first line leaders or even GM about what problems they are seeing or if they are feeling that they are being miss treated, because In a private firm...

• Word Count: 1566
• Approx Pages: 6
• Grade Level: Undergraduate