Jessica Murray is a Partner and Chief Compliance Officer (CCO) of American Elm Advisors and its affiliate firms, American Elm Distribution Partners, LLC, and American Foundry Investment Advisors, LLC. With over 25 years of experience in SEC, FINRA, and state securities regulations, Jessica is a recognized leader in the compliance and regulatory landscape. Her career includes 20 years with a large bank broker-dealer and 5 years specializing in the alternative investment space, giving her extensive expertise across traditional and alternative investments, annuities, and insurance products.
Jessica has held senior compliance roles overseeing broker-dealers, RIAs, insurance companies, and annuity carriers. Her responsibilities have included managing regulatory examinations and inquiries, designing and implementing policies and procedures, and supervising sales and operational activities. She is an expert in navigating complex regulatory frameworks and ensuring compliance across diverse financial products. Additionally, Jessica provides expert witness testimony in financial legal proceedings, leveraging her deep industry knowledge and regulatory expertise.
Jessica is a member of the Securities Expert Roundtable and the National Society of Compliance Professionals, further underscoring her commitment to industry excellence. She holds a B.S. in Business Management from Bryant University and a comprehensive set of industry licenses, including Series 6, 7, 24, 53, 63, 65, and 99, as well as a life insurance license in the State of Maine.