Ashley Gauvin
About Ashley Gauvin
Ashley Gauvin serves as a member of the Event and Emerging Risks Examination Team at the U.S. Securities and Exchange Commission, where she has worked since 2020. She holds a Bachelor of Science in Business Administration from Marist College and has extensive experience in compliance and risk oversight across various financial institutions.
Work at U.S. Securities and Exchange Commission
Ashley Gauvin has been a member of the Event and Emerging Risks Examination Team (EERT) at the U.S. Securities and Exchange Commission since 2020. This role is based in New York, New York, and involves assessing and examining emerging risks within the financial sector. Her position contributes to the SEC's mission of protecting investors and maintaining fair, orderly, and efficient markets.
Education and Expertise
Ashley Gauvin earned a Bachelor of Science in Business Administration with a focus on Finance and Accounting from Marist College. She studied there from 2002 to 2006. This educational background provides her with a solid foundation in financial principles and accounting practices, which are essential in her roles within the financial regulatory environment.
Professional Experience in Financial Services
Prior to her current role, Ashley Gauvin accumulated extensive experience in the financial services industry. She worked at Morgan Stanley as a Consultant in Due Diligence and Investigations for four months in 2010. Following this, she served as a Senior Examiner at the Financial Industry Regulatory Authority (FINRA) from 2011 to 2014, focusing on risk oversight and operational risk. Her career also includes positions at Family Management Corporation and RBC Capital Markets, where she held various compliance and risk management roles.
Career Progression at RBC Capital Markets
At RBC Capital Markets, Ashley Gauvin held multiple positions, including Associate Director of U.S. Branch Inspections and Internal Controls Testing from 2015 to 2018. She advanced to Director and Head of U.S. Branch Inspections and Internal Controls Testing from 2018 to 2019. In her final role at RBC before joining the SEC, she served as the U.S. Head of Compliance Assurance for one year.
Early Career at Huron Consulting Group
Ashley Gauvin began her career at Huron Consulting Group, where she worked as an Associate in Forensic Financial and Accounting Investigations from 2006 to 2010. This role involved conducting investigations into financial discrepancies and compliance issues, which laid the groundwork for her future positions in compliance and risk management.