Jamie Schlag, Director of Essential Edge Compliance Outsourcing Services, LLC, has extensive expertise in compliance – including more than 12 years of experience in broker-dealers and investment advisory functions. She is skilled in the areas of compliance, supervision, and operations of a dually registered independent broker-dealer with their own RIA, as well as working with independent RIAs. Jamie is deeply knowledgeable in securities products, trading, auditing, AML compliance, FINRA, SEC, MSRB, and state securities and investment advisory rules and regulations.
Since joining Essential Edge, Jamie has partnered with financial institutions on a wide range of outsourced compliance-related services, such as development and implementation of policies and procedures, conducting branch inspections, AML and 3130 exams, regulatory and internal exams, and remediation.
She comes to Essential Edge from Gradient Securities, LLC, where she provided compliance oversight, responded to regulatory, arbitration, and litigation audits and requests, and much more.
Jamie is dedicated to serving and advocating for clients, representatives, and firms within the financial services industry, with appointments to the Financial Services Institute Compliance Council, for a 3-year term as of January 2023, and the National Society of Compliance Professionals Regulatory Advisory Committee as of January 2024. Previously, Jamie served on the FINRA Qualification Exam Content Committee – SIE in 2022.
Jamie holds Series 7, 24, 52, 53, 57 and 66 licenses. She maintains Certified Regulatory and Compliance Professional (CRCP)® and Certified Anti-Money Laundering Specialist (CAMS) designations.
To view Jamie’s CV, click here.
