By Cherie Jolly
I started in the securities industry in 1986, as the wire room operator at an investment firm in California. Over the years, I have been involved with and/or managed nearly every aspect of this business from operations, supervision, new business, financial planning, insurance and compliance. My focus has been on the compliance and risk within an RIA, broker-dealer, trust and wealth management firms for the past 20 years.
In 2016, I had the opportunity to join Dynamic and help build a Culture of Compliance, a belief I shared with founder and CEO Jim Cannon. Today, we share the same commitment to compliance, taking a pro-business approach and supporting our advisors every step of the way.
I have seen a lot in my career and wanted to share some of the big changes that have occurred just over the past two decades. For the new rules and regulations that have been imposed and how certain events caused those changes, check out the following “2000-2020: A Cascade of Compliance Events that Shook Everyone’s World” infographic below: