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Allison Jaffe Email & Phone Number
Principal and Director of Compliance Programs
at
3iCO
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✓ Verified Jul 2026
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Current company
Role
Principal and Director of Compliance Programs
Location
New York City Metropolitan Area, United States
Who is Allison Jaffe? Overview
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Quick answer
Allison Jaffe is listed as Principal and Director of Compliance Programs at 3iCO, based in New York City Metropolitan Area, United States. AeroLeads shows a matched LinkedIn profile for Allison Jaffe.
Allison Jaffe previously worked as Chief Compliance Officer at Larkin Point Investment Advisors Llc and Managing Member / CCO / Co-President at Nativeone Institutional Trading, Llc. Allison Jaffe holds Bs, Communication Management from University Of Dayton, Ohio.
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Email format at 3iCO
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3iCO
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Profile bio
About Allison Jaffe
Allison has worked in compliance for more than 15 years, holding roles with Broker-Dealers and Investment Advisers, and serving as a Chief Compliance Officer (CCO). She adeptly built and maintained comprehensive compliance programs for firms of all sizes, guiding them through numerous regulatory exams. In addition to serving as CCO and consultant to numerous investment managers, Allison works to maintain the compliance programs of our clients as well as integrate our systems, teams and talent within 3iCO. With a career that began in finance in 1993, she quickly rose to Syndicate manager in the Broker-Dealer sector before specializing in institutional work with large clients on the NYSE buy side. Her practical industry knowledge enables her to excel in building and maintaining robust compliance programs tailored to the needs of financial firms.
Current workplace
Allison Jaffe's current company
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7 roles · 32 years
Allison Jaffe work experience
A career timeline built from the work history available for this profile.
Principal And Director Of Compliance Programs
Current
Feb 2018 - Present
Chief Compliance Officer
Larkin Point Investment Advisors Llc
The Larkin Point solution seeks to protect equity investments in down markets, grow in bull markets, and generate income in all markets. Our goal is to produce a less volatile and more balanced experience for the end investor, which we believe makes the Larkin Point solution an attractive core strategy.
Jul 2013 - Dec 2015
Managing Member / Cco / Co-President
Nativeone Institutional Trading, Llc
NativeOne Institutional Trading is a Native-American owned Financial Services company. NativeOne is the FIRST Native-owned firm who is a member of the New York Stock Exchange.MEMBER: NYSE-AMEX-FINRA-SIPC
Oct 2009 - Jun 2013
Compliance: Regional Supervisor, Aml Officer, Firm Element Continuing Education Supervisor
First Montauk Securities Corp
Mar 2008 - Dec 2008
Senior Stock Loan Associate
Kv Execution Services
KV Execution was a division of Bear Wagner Specialists, who was taken over by Bear Stearns in 2007
Jun 2001 - Mar 2008
Syndicate Manager
First Montauk Securities Corp
1995 - 2001
~6 yrs
2 education records
Allison Jaffe education
Bs, Communication Management
University Of Dayton, Ohio
Education record
Pittsford Sutherland
FAQ
Frequently asked questions about Allison Jaffe
Quick answers generated from the profile data available on this page.
What company does Allison Jaffe work for?
Allison Jaffe works for 3iCO.
What is Allison Jaffe's role at 3iCO?
Allison Jaffe is listed as Principal and Director of Compliance Programs at 3iCO.
Where is Allison Jaffe based?
Allison Jaffe is based in New York City Metropolitan Area, United States while working with 3iCO.
What companies has Allison Jaffe worked for?
Allison Jaffe has worked for 3Ico, Larkin Point Investment Advisors Llc, Nativeone Institutional Trading, Llc, First Montauk Securities Corp, and Kv Execution Services.
How can I contact Allison Jaffe?
You can use AeroLeads to view verified contact signals for Allison Jaffe at 3iCO, including work email, phone, and LinkedIn data when available.
What schools did Allison Jaffe attend?
Allison Jaffe holds Bs, Communication Management from University Of Dayton, Ohio.
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