Jennifer Selliers is a Managing Director at Bates Group with over 20 years of experience in regulatory compliance, operational risk, and investment adviser oversight. She specializes in designing and implementing compliance programs for SEC-registered advisers, private funds, and dual registrants. Jennifer advises clients on policies and procedures, compliance frameworks, regulatory risk management, and outsourced CCO services. She has extensive experience aligning business operations with U.S. federal and state securities laws, including the Investment Advisers Act. Prior to Bates, she served as Director of Internal Compliance for the State of Tennessee Department of Treasury, where she oversaw compliance for more than $60 billion in public assets.
Jennifer is a consultant and subject matter expert in these Practice Areas and Services:
Credentials
EXPERIENCE
Bates Group LLC, Managing Director, 2026 – Present
Fordham Law, Program on Corporate Ethics and Compliance, Adjunct Professor, 2023 – Present
Renaissance Regulatory Services, Inc., Director / Senior Consultant, 2021 – 2026
State of Tennessee, Department of Treasury, 2013 – 2021; Director of Internal Compliance, 2018 – 2021; Investments Compliance Officer, 2013 – 2018
3010 Enterprises, LLP, Compliance Consultant and Managing Partner, 2012 – 2013
Next Financial Group, Inc. (n/k/a LPL Financial), Compliance Manager, 2010 – 2012
Prime Institutional Group, LLP / Cresent Securities Corporation, Operations Manager, 2006 – 2010
Capnet Securities Corporation, Compliance and Operations Manager, 2004 – 2006
EDUCATION
Master of Public Service Management (MPSM), Cumberland University, Lebanon, TN
Bachelor of Science (BS), Business Finance, University of Phoenix, Phoenix, AZ
PROFESSIONAL QUALIFICATIONS/LICENSING
- Certified Anti-Money Laundering Specialist (CAMS)
- Certified Compliance & Ethics Professional (CCEP)
- Certified Securities Compliance Professional (CSCP)
- Ethical Leadership Certificate (NASBA)
PUBLICATIONS
- Selliers, Jennifer, “Registered Investment Advisers’ Frequently Asked Questions about PTE 2020-02 (aka DOL Fiduciary Rule 3.0).”, Currents. National Society of Compliance Professionals, June 2022.
- Hayes, Patrick and Selliers, Jennifer, “The Revenant of Fair Value Cometh for Fixed Income Markets.”, Currents. National Society of Compliance Professionals, September 2020.
- Selliers, Jennifer, “Branch Level Risks” in Practical Compliance & Risk Management for the Securities Industry, Wolters Kluwer Financial Services, Inc., September - October 2015
- Selliers, Jennifer, “No “Right” way to Write?!?” in Practical Compliance & Risk Management for the Securities Industry, Wolters Kluwer Financial Services, Inc., July - August 2014