Cherie Jolly serves as the Chief Compliance Officer for Dynamic Wealth Advisors. She works with Dynamic’s leadership team, associates and affiliated advisors to ensure the firm’s Policies and Procedures are effective, maintaining a strong compliance program and culture. She also oversees the Compliance services provided by Dynamic Wealth Advisors to other registered investment advisors (RIAs).
Throughout her 30-year career in the securities industry, Jolly has been involved with and/or managed nearly every aspect of this business from operations, supervision, new business, financial planning, insurance and compliance. Her focus has been on the compliance and risk areas within broker-dealers, RIAs, trust and wealth management firms both inside and outside of banking for several years.
She has a thorough understanding of the various departments within a securities and banking firm and the unique issues they encounter on a regular basis. This knowledge allows her to analyze situations and recommend solutions that are not just compliant with regulatory requirements, but also meet the needs of the line of business.
Jolly has created and implemented compliance programs, risk assessments, and testing and monitoring programs for entire corporations, including broker-dealers, RIA’s, trust departments and insurance firms.
