Jill Ehret is Director of Bates Group’s compliance practice and based in St. Louis, MO. Ms. Ehret is a seasoned securities industry professional with over 19 years of experience bringing practical, application-based insight and approaches to broker-dealer and registered investment advisor compliance departments and issues. Ms. Ehret has worked with a wide range of companies providing compliance advice to clients focusing on retail independent models, Financial Technology (“FinTech”) platforms, regional, institutional-based and bank-owned financial institutions.
Prior to joining Bates, Ms. Ehret served as a Senior Consultant and Associate Director of a national compliance consulting firm, where she was engaged to act in a registered capacity as a contract Chief Compliance Officer, AML Compliance Officer and Designated Supervisory Principal. Ms. Ehret has also been engaged to conduct compliance program reviews, develop Conflicts of Interest programs, create Written Supervisory Policies and Procedures, advise on operational structures for compliance departments and perform external independent reviews as stipulated through regulatory orders or consents.
For more than 15 years, Ms. Ehret worked in the Compliance or Supervision divisions of both small and large regional and national based broker-dealers and registered investment advisors including LPL Financial, The Seidler Companies Inc. and National Planning Corporation. While associated with these Firms, she served in a registered Principal capacity performing branch office supervision and oversight, advertising reviews, product due diligence, continuing education formation and training, anti-money laundering (“AML”) reviews, business continuity planning and performing annual compliance requirements. She has served in leadership roles as the registered Chief Compliance Officer, Designated Supervisory Principal and/or AML Officer for the regional based broker-dealers of Zyncap Securities, Orchard Platform Markets, Funding Circle Securities, First Brokerage America, and Saxony Securities, Inc., among others.
Ms. Ehret received her B.A. degree in Finance from the University of Illinois, Champaign-Urbana and studied at the Economic University in Vienna, Austria (WU-WIEN) as part of that degree. She is a member of the National Society of Compliance Professionals (“NSCP”) and holds the Series 7, 63 & 24 licenses.
Oyster Consulting, LLC, Associate Director, 2014-2019
Saxony Securities, Inc., Chief Compliance Officer/AML Compliance Officer, 2012-2014
Bening Consulting Group, LLC, President/Consultant, 2009-2012
National Planning Corporation, Compliance Advertising Analyst, 2003
Morgan Stanley, Associate Financial Advisor, 2000-2003
Olde Discount/H&R Block Financial, Financial Advisor, 1999-2000
University of Illinois Champaign-Urbana, Bachelor of Arts, Liberal Arts & Science, Finance, Champaign, Illinois, 1995-1999
Wirtschaftsuniversität Wien, Business Economics, Finance, and Germanic Languages, Vienna, Austria, 1998
FINRA Series 7, 24, 63, and 99; independently studied for 4, 27, and 66
Member, National Society of Compliance Professionals
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