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)
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