Jessica Rodgers is a Manager in the Compliance department at David Landau & Associates, LLC with five years of experience working in the financial services industry.
Prior to joining DLA, Jessica was a Senior AML Compliance Officer at TD Securities (USA) LLC where she was responsible for conducting the AML/Sanctions Risk Assessment across six entities in the U.S., as well as participating on global initiatives to standardize hedge fund on-boarding requirements across all regions. She performed periodic testing to ensure the firm was in compliance with AML policies and regulations and prepared and led targeted training sessions on AML policies and processes for the bank and broker-dealer.
Jessica also served as a Compliance Associate at Exotix USA Inc., a boutique broker-dealer specializing in Emerging Market Fixed Income and Equity products, where she was responsible for assisting with implementing the firm’s compliance program and working directly with the Chief Compliance Officer to prepare for and respond to FINRA exams and industry sweeps. She oversaw the firm’s AML program as the designated AMLCO and reviewed and updated the firm’s Written Supervisory Procedures. Jessica also conducted regular testing on different aspects of the compliance program to ensure compliance with regulations and the firm’s Written Supervisory Procedures.
Education, Certifications & Affiliations
- University of California, Los Angeles – B.A. in English
- Certified Anti-Money Laundering Specialist (CAMS)
- Member of the Association of Certified Anti-Money Laundering Specialists (ACAMS)
- Holds FINRA Series 7, 63 and 99 licenses