Laura Grillet-Aubert

Laura Grillet-Aubert

Laura Grillet-Aubert is a Consulting Expert at Bates Group with more than 30 years of experience in legal and compliance regulatory matters. Her career has included 6 years as a New York Stock Exchange Trial Counsel as well as Assistant General Counsel and Compliance Officer roles with top-tier bank holding companies/dual registrant financial entities.

Prior to joining the Bates Group, Laura was an Executive Director and Compliance Officer with JPMorgan Chase where she managed the regulatory examination team covering the bank, securities and state regulatory examinations, and on-going supervisory engagements for the firm’s asset management and wealth management businesses. Her compliance coverage experience includes 12 years with Citigroup where she advised the retail broker-dealers, RIA, and institutional businesses on regulatory matters and 15 months with Goldman Sachs where she covered the firm’s private wealth management regulatory training requirements. She has held Assistant General Counsel positions with PaineWebber (now UBS) covering regulatory investigations and inquiries and Gruntal & Co., where she acted in a legal advisory capacity for the firm’s broker-dealer compliance areas.

Laura earned a bachelor’s degree in English Studies from Queens College, CUNY during which time she also studied at Leeds University in the United Kingdom via the CUNY Study Abroad Program. She obtained her law degree from Brooklyn Law School. In addition to her formal education, Laura was Chairperson for the SIA (now SIFMA) Continuing Education Committee from 2006 to 2007.


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Laura Grillet-Aubert

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE

JPMorgan Chase & Co., Executive Director/Compliance, Regulatory Exam Management, New York City, NY, 2014 – 2021

Citigroup Global Markets, Inc., Regulatory Compliance Attorney/Manager, Regulatory Compliance Unit, New York, NY, 2009 – 2014   

Citigroup Global Markets, Inc., Regulatory Compliance Attorney/International Compliance Specialist, New York, NY, 2006 – 2008  

Goldman Sachs & Co., Director of Private Wealth Management (PWM) Compliance Training, New York, NY, 2005 – 2006  

Citigroup Global Markets Inc., Regulatory Compliance Attorney, New York, NY, 2000 – 2005  

Gruntal & Co., Assistant General Counsel, Legal, New York, NY, 1999 – 2000  

PaineWebber Incorporated (now UBS), Assistant General Counsel, Legal-Regulatory, Weehawken, NJ, 1996 – 1999  

New York Stock Exchange, Trial Counsel, Enforcement Division, New York, NY, 1989 – 1996  

Prior Associate Attorney Experience, 1985 – 1989  

EDUCATION

Juris Doctorate (J.D.), Brooklyn Law School, Brooklyn, NY; Brooklyn Journal of International Law: Open Note Competition Winner, 1984

Bachelor of Arts (B.A.), English Studies, Queens College, City University of New York, Queens, NY; Leeds University, United Kingdom: CUNY Junior Year Study Abroad Program

PROFESSIONAL QUALIFICATION/LICENSING

Bar Admissions – New York State: First Department; Federal Court: New York Second Circuit, Southern and Eastern Districts

INDUSTRY AFFILIATIONS

SIFMA Continuing Education Committee: Chairperson 2006 – 2007, member 2002 – 2006, Newsletter editor

Member, SIFMA Legal and Compliance Group