Jay is a senior member of our compliance group and is an active participant on our firm’s Compliance Committee. In addition to serving as a chief compliance officer to our clients, Jay assists his clients with policy development and procedural design.
Jay has over 20 years of experience in the financial services industry. Prior to joining CCS, Jay was a manager at The Vanguard Group supporting Vanguard Brokerage Services and the high-net-worth retail client segment. Jay has also served as director of compliance at Ferris Baker Watts, assistant director of compliance at Janney Montgomery Scott and senior examiner at FINRA. During his career, Jay has conducted regulatory examinations of registered broker/dealers and has managed numerous FINRA and SEC examinations.
Jay earned a B.S. in economics/finance from Bentley University. He has obtained the following FINRA licenses: Series 7, 9, 10, 14, 24, 55, 63 and FINRA’s CRCP designation.
During his time away from CCS, Jay enjoys spending time with his wife and two daughters. He also enjoys running, skiing, hiking and walking his dog.