A spotter’s guide to the men and women of finance.
One employed in the compliance department (as distinct the legal department) so not, strictly speaking, a professional at all (but constantly at pains to call herself one, the same way that real estate agents and financial advisors do). In the Harry Potter argot, a mudblood.
Legal and compliance
Just what the difference is in function is between the legal, compliance and legal and compliance departments could occupy a corpulent volume.
- ↑ Don’t forget, this is a pejorative term for someone who nonetheless may have ninja legal skills: Hermione Grainger was a mudblood, after all.