Consultant, Bates Compliance Solutions
Jennifer Sullivan is a Consultant with Bates Group’s Compliance Solutions Practice. She leverages more than 20 years of experience working in the financial services compliance field to assist investment advisors, broker-dealers and wealth management organizations in navigating complex issues relating to supervision, compliance, financial regulations and internal audits. Ms. Sullivan specializes in guiding firms through the ever-changing FINRA registration process and developing firm-specific Written Supervisory Policies & Procedures (WSPs).
Prior to joining Bates, Ms. Sullivan was a Consultant with National Regulatory Services. When she first joined NRS in 1997 as a member of their IT Department, she was involved in product fulfillment and working with IA and BD clients to demonstrate products, assisting in the clients’ understanding of how the products could best be utilized as a compliance tool and other client-related matters. She eventually went on to manage the department tasked with product development and network administration. This prior experience allows Jennifer to bridge the gap between compliance and regulatory technology with matters related to Cybersecurity, Identify Theft and Privacy.
Ms. Sullivan transitioned into the Compliance Consulting area in 2007 where she was responsible for assisting firms through the complex FINRA registration process, guiding them on the initial filing requirements as well as offering assistance in terms of what will be expected of them from a regulatory perspective upon becoming a full-fledged SEC, FINRA and state-registered broker-dealer. In registering firms, Jennifer assisted in the development of WSPs and desktop procedures for the supervision and compliance programs. The business models of these broker-dealers have ranged from extremely complex to very limited, all requiring a full understanding of the individual client’s needs. She has also guided hundreds of firms through the state registration process, ranging from 1 to 52 jurisdictions per firm. Ms. Sullivan has written numerous WSPs, manuals and procedures, working with firms to tailor their WSPs to reflect their business and how they actually function.
Ms. Sullivan has also visited many clients on-site to conduct their AML audit, 3120 WSP testing, 206(4)-7 Annual Reviews and to respond to requests for general consulting needs as specified by the client. She currently holds a CAMS Certification (Certified Anti-Money Laundering Specialist) and IACCP Certification (Investment Adviser Certified Compliance Professional).
Bates Group LLC, Lake Oswego, OR, Compliance Consultant, November 2018 - Present
National Regulatory Services, Lakeville, CT, Consultant, Investment Adviser, and Broker/Dealer Services, 2015 - 2018
National Regulatory Services, Lakeville, CT, Specialist in Broker/Dealer Client Services, 2008 - 2015
National Regulatory Services, Lakeville, CT, Senior Technical Support Representative, Technical Support Manager, 2005 - 2008
National Regulatory Services, Lakeville, CT, Technical Support Representative and Software Fulfillment Specialist, 1997 - 2005
Boston University – Boston, MA, Certification, Paralegal, 2008
Certified Anti-Money Laundering Specialist (CAMS), Association of Certified Anti-Money Laundering Specialists, 2016
Investment Adviser Certified Compliance Professional (IACCP), Investment Adviser Association, 2015
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