Jessica Hayes, Cams
About Jessica Hayes, Cams
Jessica Hayes serves as an Examination Manager at FINRA, where she provides guidance on complex broker-dealer and investment advisor issues. With over 15 years of experience in regulatory compliance, she has held various roles in the industry, including positions at JHS Capital Advisors and GunnAllen Financial.
Current Role as Examination Manager
Jessica Hayes currently serves as an Examination Manager at FINRA, a position she has held since 2020. In this role, she provides guidance to firms and registered representatives on complex broker-dealer and investment advisor issues. Her responsibilities include developing and implementing compliance policies and procedures to ensure adherence to regulatory standards.
Previous Experience at FINRA
Prior to her current role, Jessica Hayes worked at FINRA in various capacities. She served as an Associate Principal Examiner from 2015 to 2017 and as a Principal Examiner from 2017 to 2020. During her tenure, she focused on regulatory compliance and oversight, contributing to the organization's mission of protecting investors.
Professional Background in Compliance
Jessica Hayes has over 15 years of experience in regulatory and industry compliance. She has held significant positions in several firms, including JHS Capital Advisors, LLC, where she worked as a Senior Compliance Officer and later as Chief Compliance Officer - RIA. Additionally, she was a Risk Manager for Trading Compliance at GunnAllen Financial and a Financial Analyst at Mezrah Consulting.
Educational Qualifications
Jessica Hayes earned a Master of Science in Finance from the University of Tampa's John H. Sykes College of Business, completing her studies from 2007 to 2008. She also holds a Bachelor of Science in Management Information Systems from the University of South Florida, which she obtained between 1998 and 2001. Her educational background supports her expertise in regulatory compliance.
Expertise in Regulatory Compliance
Jessica Hayes possesses extensive knowledge in various regulatory frameworks, including FINRA, SEC, MSRB, AML, DOL, ERISA, and state securities and insurance rules. Her expertise enables her to effectively administer and oversee compliance programs, ensuring that firms adhere to the necessary regulations and standards within the financial industry.