Jay Gillette Email & Phone Number

Chicago, IL, US

Vancouver, BC, CA

Global Relay is the leading provider of cloud archiving, information governance, surveillance, and messaging solutions to the global finance sector and other highly regulated industries. Global Relay helps organizations connect data, collaborate effectively, and discover insight - all powered by AI. Global Relay has 20,000+ customers in 90 countries.

Chicago, Illinois, US

YCharts is a cloud-based investment research, economic data & client presentation platform; empowering financial professionals in making smarter investment decisions. Beginning with world-class financial data, then applying YCharts' fast yet intuitive user-interface is like hiring a research analyst and marketing guru, all combined into one 24-7 automated.

Chicago, Illinois, US

Chicago, Illinois, US

Ascent Technologies is a RegTech SaaS provider that offers a first-to-market platform which helps build, manage, and automate regulatory compliance programs for financial services firms. Combining modern technology with hard-won practical experience lets us reduce our customers' costs and regulatory risk while also making their team more efficient and.

Chicago, Illinois, US

Prescient is a boutique, highly-specialized corporate investigations, risk mitigation, and compliance firm. We combine leading-edge technology solutions and human analysis to humanize and simplify intelligence in order to help clients mitigate enterprise-wide risks. Our solutions consist of a comprehensive suite of due diligence and risk mitigation.

Chicago, Illinois, US

LQD Business Finance is a national commercial finance “FinTech” company that is able to offer a wider range of loans to a wider range of borrowers. Unlike existing lenders, our underwriting sophistication enables us to execute a broader borrowing base of growth capital with varying requirements.

Milwaukee, WI, US

Northwestern Mutual is an American financial services organization based in Milwaukee, WI. The financial security company provides consultation on wealth and asset income protection, education planning, retirement planning, investment advisory services, trust and private client services, estate planning and business planning.

• Compliance Officer in a newly established Compliance Department, which successfully implemented projects such as:
• Managing the Department’s Regulatory Validation Testing process and reporting updates to senior management.
• Creating and leading the Compliance Testing regarding SEC Rule 17Ad-22 (standards for Covered Clearing Agencies).
• Refining and managing the Conflicts of Interest, Outside Business Activities and Gifts and Entertainment disclosure processes.
• Assessing Compliance control gaps by creating and analyzing process flows for all Compliance processes.
• Identifying, researching and implementing compliance technology software in order to automate Compliance activities.

Washington, District Of Columbia, US

• Led and performed Cycle Examinations on Broker-Dealers in FINRA’s Member Regulation practice, including activities such as:
• Conducting reviews and investigations of FINRA member firms' client trading activity to identify specific violations of SEC, FINRA, MSRB and NYSE rules and applicable federal securities laws, as well as broader issues.
• Meticulously researching and compiling information from multiple audit-trail and market information resources, in conjunction with firm-submitted responses, to plan regulatory examinations.
• Preparing written reports and conducting entrance and exit meetings to provide member firms with information on regulatory concerns noted before and during examinations.
• Conducting routine member firm Sales Practice, Financial, MSRB and Options examinations.
• Interacting with member firms via regulatory inquiries applicable to complaint based investigations.

Chicago, IL, US

Designated Broker-Dealer compliance officer who worked with Trading, Information Barriers, Public Finance Investment Banking, Anti-Money Laundering, Internal Audit and General Counsel departments, gaining insight and exposure across many sectors of the financial industry platform.

Assisted the Market Regulation Department by completing activities such as auditing daily short sales reports, out of sequence reports and wash trades reports. Ran Access queries on the trading securities list and updated the list as needed.

New York, NY, US

Trained in asset management and risk based research strategies for retail and institutional portfolio management.

Bachelors, Finance

Education record