Expertise
Fixed Income Products, Equity Products, Capital Markets Operations, Capital Markets Compliance, Data Integrity, FINRA and SEC Exams and Enforcement , Municipal Continuing Disclosure , Order Management Systems, T+1 Settlement, Trade Confirmation Reviews, Municipal Minimum Denominations, Best Execution, Fair Pricing, Reasonableness of Compensation, Reg NMS Rule 605 & Rule 606, Surveillance and Supervisory Report Reviews, Prevailing Market Price, Markup Disclosure, TRACE and MSRB Trade Reporting, Municipal Securities Underwriting, Buy and Sell Side Compliance Program Management, 15c2-11, Policies and Procedures, Separately Managed Account Programs, Time of Trade Disclosures, FINRA 4210 Covered Agency Transactions
(For search purposes, not intended to be a comprehensive list)
Jesy LeBlanc  

Consultant, Founder, Managing Partner, TRADEliance, LLC.
PO Box 672
Maple Valley, WA 98038

Work: 206-640-3049
jesy.leblanc@tradeliance.com
www.TRADEliance.com
LinkedIn
Expertise
Fixed Income Products, Equity Products, Capital Markets Operations, Capital Markets Compliance, Data Integrity, FINRA and SEC Exams and Enforcement , Municipal Continuing Disclosure , Order Management Systems, T+1 Settlement, Trade Confirmation Reviews, Municipal Minimum Denominations, Best Execution, Fair Pricing, Reasonableness of Compensation, Reg NMS Rule 605 & Rule 606, Surveillance and Supervisory Report Reviews, Prevailing Market Price, Markup Disclosure, TRACE and MSRB Trade Reporting, Municipal Securities Underwriting, Buy and Sell Side Compliance Program Management, 15c2-11, Policies and Procedures, Separately Managed Account Programs, Time of Trade Disclosures, FINRA 4210 Covered Agency Transactions
(For search purposes, not intended to be a comprehensive list)

Jesy LeBlanc started in the financial industry in 2006, spending much of that time in Compliance supporting various areas of the business, but with a focus on and passion for supporting the Capital Markets.

Expertise

• Experience working for small and large firms, in nearly every facet of compliance – inclusive of policies and procedures development, testing and implementation.

• Managed Compliance programs both on the buy and the sell side.

• Experience as a trader and leading a team of fixed income traders allowing for first-hand knowledge of the issues and pain points of traders in the industry.

• Extensive experience working directly with the regulators, including assisting in the remediation of precedent-setting SEC enforcement cases.

• Leverages an audit like approach to solving complex problems resulting in meticulously thought out, process driven solutions.

Education and Credentials

• Bachelor's degree and MBA, Indiana University

• Obtained FINRA licenses 7, 63, 9, 10, 24, and 53

• 2018-2019 Member of the MSRB Compliance Advisory Group

• Co-creator/organizer, St. Louis Regulation and Operations Networking Group (STRONG) Round Tables

Curriculum Vitae

SER Associate Member