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
Jersey City, NJ, USA
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
New York, NY, USA
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
New York, NY, USA
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
Alexandria, VA, USA
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
Washington, DC, USA
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
New York, NY, USA
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
New York, NY, USA
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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