Megan Purcell Jones
Manasquan,NJ
Summary
Accomplished and dependable Senior Compliance Officer with a proven track record of achieving results in regulatory compliance, communications, and operations management across global financial institutions. Recognized for leading compliance initiatives, optimizing high-volume operations, and driving policy adherence with precision. Acknowledged as a Division I team captain and contributor in athletics, with a deep commitment to mentoring youth and underserved communities. Combines analytical rigor with creative problem-solving, strengthened by entrepreneurial training and writing certifications.
Overview
17
17
years of professional experience
Work History
Senior Compliance Officer
Royal Bank of Canada (RBC) Capital Markets
09.2015 - 01.2017
- Achieved a 40% reduction in review time by leading implementation of the SunGard PTA monitoring system
- Delivered compliance training to over 200 employees, improving policy adherence and reducing violations
- Conducted email surveillance during investigations, identifying and mitigating potential insider trading and fraud risks
- Consolidated firm-wide attestations and managed 17j-1 & 204A-1 reporting, ensuring 100% regulatory compliance
- Oversaw tracking of global securities holdings, maintaining accuracy for international jurisdiction filings
Compliance Analyst
Jennison Associates
05.2011 - 09.2015
- Acknowledged for maintaining perfect compliance record on quarterly reports (17j-1 & 204A-1) while managing pre- and post-trade reviews
- Conducted oversight of AML, anti-bribery, and personal trading policies under the 1940 Investment Advisors and Company Acts
- Developed and led new hire orientations, enhancing early-stage compliance adoption and ethical standards
- Supported successful rollout of SunGard PTA system, achieving faster enforcement and more consistent policy monitoring
- Managed blackout enforcement and employee attestations under the Code of Ethics
- Tracked foreign securities holdings and ensured timely reporting for non-U.S
- Regulatory filings
Senior Compliance Officer & Call Center Manager
JPMorgan Chase
07.2002 - 05.2011
- Achieved operational efficiency by managing a compliance call center handling over 2,000 stock clearance calls daily, ensuring real-time pre-trade approvals
- Spearheaded automation of pre-trade clearance workflows, which reduced error rates and streamlined regulatory processing
- Trained and supervised staff, resulting in improved service quality and acknowledged improvements in cross-department coordination
- Delivered annual compliance training across investment and private banking divisions, achieving higher audit readiness scores
- Enforced insider trading protocols, monitored blackout periods, and reviewed personal trading activities with zero compliance breaches reported
- Responded to SEC, FINRA, and NYSE inquiries, preparing audit-ready documentation and achieving successful regulatory outcomes
- Acted as liaison between compliance, legal, and trading, promoting acknowledged cross-functional regulatory understanding
Compliance Analyst
BGB Securities Incorporated
04.2007 - 03.2008
- Controlled account administration for a registered mutual fund investment advisor managing $600M+ across 300+ separate accounts
- Achieved full SEC compliance by executing annual proxy voting procedures for all fund holdings
- Collaborated with the mutual fund distributor to ensure all marketing and sales materials met regulatory standards
- Led the development and launch of the corporation's new website, establishing the firm's online presence
Sales Assistant
JPMorgan Investment Bank & Private Bank
10.2004 - 09.2006
- Provided executive-level support to six Senior Vice Presidents across the Financial Institutions, Public Finance, Mid Corporate Banking, and Global Institutions Groups
- Managed external regulatory inquiries and led preparation of responses for all internal audits
- Served as IT liaison, coordinating technology issues and support between departments and tech teams
- Enforced corporate compliance guidelines for managing, tracking, and filing all office communications
- Assisted in sourcing and managing brokerage and proprietary accounts for high-net-worth clients
- Interfaced with clients, internal operations, and sales traders to resolve account inquiries and ensure service excellence
- Acted as liaison between sales teams and the account initiation group to expedite wealth management account openings
- Compiled tailored marketing materials to finalize client purchases of private investments
Compliance Analyst
ABN AMRO Incorporated
10.2001 - 07.2002
- Conducted compliance email surveillance and contributed to firm-wide special projects
- Achieved efficient handling of mutual fund accounts exceeding $600M in assets
- Ensured proxy voting procedures and marketing materials complied with SEC regulations
Intern
Nomura International Securities
05.2000 - 08.2000
Education
Bachelor of Science - Business Administration, Concentration in Communications and Management
Monmouth University
West Long Branch, NJBusiness Entrepreneurship Program -
Fashion Institute of Technology (FIT)
New York, NY01.2015
Skills
- Regulatory expertise
- Legal research
- Customer focus
- Documentation review
- Training delivery
- Compliance monitoring
- Ethics promotion
- Compliance reviews
Community Service
- Volunteer, Children with Special Needs, Mentored children to foster emotional and social development.
- Mentor, Gotham Basketball Program (NYC), Coached underprivileged youth, promoting discipline, teamwork, and confidence.
- Volunteer, Nashville Toy Shop & Foster Program, Collaborated with the NFL's Tennessee Titans and Dolly Parton's Imagination Library to promote literacy and holiday giving.
Professional Development
- Children's Book Writing I & II, Gotham Writers Workshop, 2012, 2013
- Business Entrepreneurship Program, Fashion Institute of Technology, 2015
Timeline
Senior Compliance Officer
Royal Bank of Canada (RBC) Capital Markets
09.2015 - 01.2017
Compliance Analyst
Jennison Associates
05.2011 - 09.2015
Compliance Analyst
BGB Securities Incorporated
04.2007 - 03.2008
Sales Assistant
JPMorgan Investment Bank & Private Bank
10.2004 - 09.2006
Senior Compliance Officer & Call Center Manager
JPMorgan Chase
07.2002 - 05.2011
Compliance Analyst
ABN AMRO Incorporated
10.2001 - 07.2002
Intern
Nomura International Securities
05.2000 - 08.2000
Bachelor of Science - Business Administration, Concentration in Communications and Management
Monmouth University
Business Entrepreneurship Program -
Fashion Institute of Technology (FIT)
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