.Jane is a detail-oriented professional with a strong foundation in business administration and accounting, complemented by comprehensive training gained by years of serving as the Legal and Compliance Officer in major firms. This experience includes meticulously writing and reviewing documents to ensure accuracy, clarity, consistency and adherence to regulatory requirements.
Her experience as Chief Compliance Officer was spent at major broker/dealers, investment advisors, and insurance companies. During that time as Chief Compliance Officer, she had numerous securities and insurance licenses, including the Financial and Operations Principal designation in those firms. She currently has a Certificate in General Proofreading: Theory and Practice and is a Certified White Paper Specialist. She has extensive experience in researching, interpreting, and writing technical regulatory materials including policy and procedure manuals as well assisting firms with the steps necessary to adhere to new regulatory requirements.
She has collaborated with legal teams in various proceedings, including depositions and on-the-record testimony, and then reviewed the related legal documents. She has written and reviewed responses to regulatory correspondence for clarity and correctness. As a former member of senior management in those corporations, she has extensive experience working with outside consultants including lawyers, accountants, information technology personnel, and bankers, as well as regulators — and has been responsible for creating, interpreting, and reviewing documents pertaining to those outside groups. She also served as the Anti-Money Laundering (AML) Officer and participated in litigation in a major AML case.
Her skills include:
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