Adrian Jessop
About Adrian Jessop
Adrian Jessop is an Examination Manager with over a decade of experience in broker-dealer industry regulation and compliance. He has held various positions at FINRA and National Planning Corporation, focusing on regulatory matters including Regulation Best Interest and Form CRS.
Current Role at FINRA
Adrian Jessop serves as an Examination Manager at FINRA, a position he has held since 2022. In this role, he is responsible for overseeing examination processes and ensuring compliance within the broker-dealer industry. His work is centered in San Francisco, California, where he applies his extensive knowledge of industry regulations to enhance compliance practices.
Experience at FINRA
Adrian Jessop has accumulated significant experience at FINRA, having worked in various capacities since 2016. He served as a Principal Examiner from 2019 to 2022, focusing on regulatory examinations in the San Francisco Bay Area. Prior to that, he held roles including Associate Principal Examiner and Senior Regulatory Coordinator, contributing to his comprehensive understanding of regulatory compliance.
Background in Compliance at National Planning Corporation
Before joining FINRA, Adrian Jessop worked at National Planning Corporation (NPC) in multiple compliance-related roles. His tenure included positions such as Compliance Consultant, Advertising Compliance Analyst, and Manager of the Advertising Review Unit. His experience at NPC spanned from 2006 to 2016, where he developed a strong foundation in advertising compliance and regulatory practices.
Education and Professional Development
Adrian Jessop earned a Bachelor of Arts in Economics from the University of California, Los Angeles, where he studied from 2002 to 2006. He is currently enhancing his expertise in accounting through studies at UC Berkeley Extension, which he began in 2017. This educational background supports his regulatory work, particularly in areas such as Regulation Best Interest and Form CRS.
Expertise in Financial Regulation
Adrian Jessop has over a decade of experience in broker-dealer industry regulation and compliance. His professional focus includes significant involvement in financial regulation initiatives, particularly emphasizing Regulation Best Interest and Form CRS. This expertise positions him as a knowledgeable figure in the compliance landscape.