Jaimie Palmer
Nolensville,TN
Summary
With a robust background as Chief Compliance Officer at Beacon Capital Management, focusing on leading the firm through the complexities of state and federal regulation. The team successfully navigated Beacon Capital's first SEC exam without enforcement referrals, a testament to the firm's rigorous compliance program and proactive regulatory engagement.
Overview
16
16
years of professional experience
1
1
Certification
Work History
Chief Compliance Officer
Beacon Capital Management, LLC
08.2021 - Current
- Developed and oversee firm’s compliance program
- Monitor and interpret applicable state and federal regulations that affect the firm
- Maintain regulatory filings and disclosures for the RIA
- Work directly with the CEO to implement any regulatory changes
- Created, updated, and reviewed policies and procedures to ensure that the firm is operating in compliance with regulations and that regulatory reporting requirements are met
- Implement policy and procedural changes based on regulatory changes
- Oversee outside counsel on client complaints
- Primary SEC contact and lead on SEC exams
- Successful completion of the firm's first SEC exam with no fines
- Provide quarterly Compliance Training on regulatory changes and common compliance violations.
Senior Compliance Manager
Equitable Advisors, LLC
01.2015 - 01.2021
- Responsible for day-to-day management of office’s compliance policies
- Develop and provide guidance on financial regulations pertinent to the insurance business
- Monitor and report on compliance risks
- Draft and deliver compliance training, presentations, and communications on regulatory issues
- Communicate compliance policies, processes, and controls
- Conduct annual associate reviews to assess the financial professionals are maintaining proper records that follow current industry regulations
- Conduct supervisory and suitability reviews of annuity and life insurance transactions
- Review and respond to sales trends and regulatory focuses
- Perform regulatory oversight of the financial professionals
- Provide support for marketing and corporate communications
- Monitor new legislative and regulatory requirements
- Monitor financial professionals license changes to ensure proper disclosures
- Review and edit marketing materials, disclosures, and web site content
- Bi-annually coordinate internal audit to assess internal processes against regulatory requirements and industry practices.
Lead Attorney-Project Support
Open Access Technology International, Inc.
01.2013 - 01.2015
- Analyzed federal regulations and counseled the business on regulatory developments
- Advised on Dodd Frank swap reporting regulations to enable the incorporation of related functionality into the company’s software
- Worked with cross functional teams to review, draft, and negotiate a variety of commercial agreements, including technology, consulting, confidentiality, and other business agreements
- Managed three attorneys; provided support and mentoring, prepared reviews, and managed workload
- Successfully worked with business lines and customers to determine implementation of new software
- Performed as solo project manager of software development team to ensure successful and timely implementation of software changes
- Researched and drafted memos advising on topics pertinent to the technology and financial industries
- Advised on Dodd Frank swap reporting regulations to enable the incorporation of related functionality into the company’s software offerings
- Monitored NYISO and ICE markets for relevant market changes
- Monitored New York State Public Service Commission for changes to smart grid regulations
- Managed development and deployment of CTRM (Commodity Trading Risk Management) software
- Reviewed non-disclosure and approved agreements.
Sr. Compliance Officer
Piper Jaffray & Co.
01.2008 - 01.2013
- Provided support for legal and regulatory issues related to capital markets opportunities
- Supported growth initiatives in capital markets, including due diligence and regulatory evaluation
- Monitored employee trading in personal and proprietary accounts in public and private securities for potential conflicts of interest and patterns of inappropriate or insider trading
- Performed assessment while monitoring and reporting on compliance risks
- Researched JOBS Act to implement changes in the applicable securities regulations
- Worked with the legal and internal audit departments to ensure implementation of federal regulations
- Prepared SEC and FINRA exam documentation and worked with onsite examiners
- Worked with Investment Research, Investment Banking, and Capital Markets through the entire new market process to ensure compliance with federal regulations as well as the Global Settlement
- Developed and conducted legal training for business partners
- Negotiated agreements with financial firms to become an approved vendor for employee trading
- Developed, implemented, and enforced compliance policies, processes, and controls regarding employee trading and employee activities
- Reviewed quarterly political contributions report for any inappropriate contributions to political campaigns
- Founding member and secretary of the FCPA (Foreign Corrupt Practices Act) Committee.
Education
Juris Doctor -
William Mitchell College of Law
St. Paul, MN05.2008
Bachelor of Arts -
Northern State University
Aberdeen, SD05.2003
Skills
- Ethical Leadership
- Regulatory expertise
- Team Management
- Legal knowledge
- Compliance Monitoring
- Regulatory knowledge
- Risk Management
Certification
- Series 7, FINRA, 2006
- Series 63, FINRA, 2007
- Series 24, FINRA, 2009
- Series 66, FINRA, 2020
- Series 51, FINRA, 2021
- Minnesota Bar Exam, Minnesota State Bar, 2008, Currently Inactive
Timeline
Chief Compliance Officer
Beacon Capital Management, LLC
08.2021 - Current
Senior Compliance Manager
Equitable Advisors, LLC
01.2015 - 01.2021
Lead Attorney-Project Support
Open Access Technology International, Inc.
01.2013 - 01.2015
Sr. Compliance Officer
Piper Jaffray & Co.
01.2008 - 01.2013
Juris Doctor -
William Mitchell College of Law
Bachelor of Arts -
Northern State University
- Series 7, FINRA, 2006
- Series 63, FINRA, 2007
- Series 24, FINRA, 2009
- Series 66, FINRA, 2020
- Series 51, FINRA, 2021
- Minnesota Bar Exam, Minnesota State Bar, 2008, Currently Inactive
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