Final answer:
The Compliance or Risk Management Department of an investment dealer is responsible for compliance and risk management. They ensure the firm follows laws and regulations, protecting its assets and reputation by assessing and managing risks.
Step-by-step explanation:
The group of employees within an investment dealer that commonly handles compliance and risk management matters is known as the Compliance Department or Risk Management Department. These professionals are charged with ensuring that their firm adheres to all applicable laws, regulations, and ethical standards concerning financial activities. They play a critical role in identifying, assessing, and managing risks to protect the firm's assets and reputation, ensuring that the business operates within a secure and compliant framework. Compliance officers monitor the business's ongoing activities, while risk management specialists focus on potential future issues that could impact the firm's financial health and legal standing.