Ms. Murray has over 20 years of experience in the investment and insurance industries, beginning her career as a bank branch manager dually licensed to sell insurance and securities. In 2009, she transitioned to a senior compliance role with a dually licensed broker-dealer and registered investment advisor. In that role Jessica became known for her unique ability to dive deeply into FINRA, SEC, State Insurance and Securities regulations in detail as well as maintain big picture, strategic thinking to help resolve internal, external and regulatory investigations, design compliance policies and procedures, and compliance training programs.
Since 2019, she has been the Chief Compliance Officer for multiple affiliated RIAs and broker-dealer, requiring the ability to parse through the various application of SEC and FINRA regulations by entity and lines of business in an industry focused on the distribution in the specialized asset class of alternative investments.
In addition, Jessica also provides compliance consulting services to RIAs, broker-dealers, and insurance companies assisting in general compliance questions and guidance; designing compliance training programs; analyzing and identifying compliance program gaps and remediating those gaps; identifying third party technology providers to streamline compliance programs; outsourced CCO responsibility; coordinating of regulatory responses; employee hiring and onboarding processes; and any other compliance or training related support required by the clients she services.
With Jessica's combination of excellent analytical and organizational skills coupled with an ability to clearly identify regulatory violations and articulate them in a simplistic and appropriate manner, makes her recent transition into providing expert witness testimony a fitting expansion of her services in the securities and insurance industries and a natural use of her knowledge and experience in FINRA, SEC, and insurance rules and regulations.
SER Associate Member