Jessica “Jesy” LeBlanc is a Bates Consulting and Testifying Expert and the Founder/Managing Partner of TRADEliance. Her 20 years of practical compliance and operations expertise is shaped through years of supporting trade desks across the full lifecycle of a trade. Her background spans both buy‑side and sell‑side environments, small and large firms, and roles ranging from compliance officer to trade desk supervisor. She has extensive experience working directly with regulators, including assisting in the remediation of precedent‑setting SEC enforcement cases.
Jesy provides objective, credible, and well‑supported analysis in the highly specialized area of trade desk support. She assists firms with issues such as best execution, fair pricing, trade reporting, customer disclosure obligations, non-financial regulatory reporting, and creating, maintaining, and testing supervisory systems and controls. Jesy’s specialization in trading compliance & operations enables her to distill complex rules into clear, functional explanations, making her a powerful resource for attorneys navigating relevant disputes or enforcement matters.
Jesy co-founded the St. Louis Trading Regulation and Operations Networking Group (STRONG), which hosts roundtable discussions with industry participants. These roundtables still occur today through TRADEliance and have been hosted in variety of cities nationwide. Jesy also is an associate member of the Securities Expert Roundtable (SER) and served on the MSRB’s Compliance Advisory Group in 2018. Previously, she worked at a number of industry firms, including Parametric Portfolio Associates (Morgan Stanley), Edward Jones, City Securities, and Charles Schwab.
Jessica is a consultant and subject matter expert in these Practice Areas and Services:
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Securities and Financial Services Litigation & Consulting
- Alternative Investments
- Asset Backed Securities (ABS)
- Broker Dealer (BD)
- Callable Yield
- Capital Markets
- Clearing & Settlement
- Closed End Funds
- Complaints
- Complex Products
- Corporate Bonds
- Corporate Debt
- Corporate Governance
- Distressed Securities
- Equities
- ETFs
- ETNs
- Fixed Income
- High Yield Bonds
- Industry Standards
- Introducing Firm/Clearing Firm Relationship
- Market Manipulation
- Mortgage-Backed Securities (MBS)
- Municipal Securities
- Municipal Trading and Underwriting
- Mutual Funds
- Operations
- Outside Business Activity
- Preferred Securities
- Prime Brokerage
- Private Placements
- Private Securities Transactions
- Puerto Rican Bonds
- Registered Investment Advisers (RIAs)
- Risk Management
- Structured Products/Structured Notes
- Supervision
- Trade Processing
- Trading
- Unauthorized Trading
- Underwriting
- Data Analyses and Analytics
- Regulatory and Internal Investigations
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BD-RIA Compliance
- Broker Dealer Compliance Reviews
- Risk Assessments
- Supervision Reviews
Credentials
EXPERIENCE
Bates Group, Consulting and Testifying Expert, 2026 – Present
TRADEliance, LLC, Co-founder, Consultant and Managing Partner, Maple Valley, WA, 2022 – Present
Morgan Stanley Investment Management/Parametric Portfolio Associates, Vice President, Senior Compliance Officer, Seattle, WA, 2020 – 2022
Edward Jones, St. Louis, MO, 2014 –2020;Team Leader, St. Louis Corporate Bond Trading Desk, 2019 – 2020; Senior Compliance Manager, Capital Markets/Operations Compliance – Fixed Income Trading Support, 2014 – 2019
City Securities, Indianapolis, IN, 2011– 2014; Compliance Advisor, 2011 –2014; Registered Financial Associate with the Private Client Group, 2011
Charles Schwab, Equity and Options Trader, Indianapolis, IN, 2006 – 2011
EDUCATION
Master of Business Administration (MBA), Finance, Indiana University-Purdue University, Indianapolis, IN
- Completed an independent study on Shadow Banking and the regulatory needs created by it, which included extensive research on Dodd-Frank and various other regulatory initiatives
- Provided consulting services for a start-up firm in South Africa, assisted the firm with improving and expanding its business.
Bachelor of Science (BS), Apparel Merchandising, Minors in Business and Religious Studies, Indiana University, Bloomington, IN
PROFESSIONAL QUALIFICATIONS/LICENSING
- FINRA Series 7, 63, 9/10, 24 and 53
- Canadian Securities Commission Registered Level 1
PROFESSIONAL AFFILIATIONS
- Participant on the 2019 MSRB Compliance Advisory Group.
- Co-created a Networking group of St. Louis Trading, Regulation and Operations professionals – several events held, including a large-scale industry roundtable drawing participation from several firms outside the St. Louis area who traveled to participate.
- Co-leader of the Edward Jones Compliance Division Women's Group Events Committee – responsible for organizing, planning and implementing development related events for associates in the Compliance Division.
PERSONAL AFFILIATIONS
New Member Coordinator for Cub Scouts Pack 712, Maple Valley, WA