Expertise
Trade Desk Support, Trading Support, 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
Trade Desk Support, Trading Support, 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)
As co-founder of the consulting firm, TRADEliance, Jesy brings deep compliance and operational expertise shaped by years supporting firms across the full trade lifecycle. She specializes in navigating regulatory requirements, strengthening control frameworks, and identifying risks. Her expertise can help streamline complex legal work by reducing ambiguity and providing persuasive, functional explanations of trading operations and compliance topics.
Jesy has experience working for small and large, introducing and self clearing, and buy and sell side firms. Her experience in compliance covers nearly every facet, but she has spent the majority of her career managing compliance programs for both buy and sell side trade desks. She's assisted firms in remediating and mitigating enforcements as well as considerable time interacting with regulators for routine reviews. She also spent time leading a team of Corporate Bond traders and working as an active trader broker, providing her the knowledge and practical context of how a trade desk functions.
Curriculum Vitae
SER Associate Member
