COMPLIANCE ANALYST, COMPLIANCE AND RISK MANAGEMENT
Jenna joined the Asgard team in October 2018. She assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting trade surveillance reviews, electronic communication surveillance reviews, personal securities account reviews, and Supervisory Control Testing under FINRA Rule 3120.
Jenna also conducts independent AML inspections which includes testing the Firm’s customer identification program, compliance with FinCEN Rule 314(a) and the efficacy of the firm’s written anti-money laundering compliance program.
Jenna is instrumental in developing client reporting and analysis, the creation and implementation of the Asgard FINRA Regulatory Notice Tracking and Reporting Analysis for our clients and she also assists in preparing new client files, client relations, securities registrations and terminations, Form BD/BR amendments and Firm Element Continuing Education Programs.
Prior to joining Asgard, Jenna was an intern with AXA Advisors throughout the summer of 2018 where she assisted senior financial advisors in providing clients with financial consultancy and management.
Jenna holds a Bachelor of Business Administration in Finance and minor in Communications from Baruch College.