Jay Esche

Background

About Jay Esche

My background includes over 30 years of financial industry experience including working for an industry firm (Merrill Lynch Pierce Fenner & Smith), for a regulator (Florida’s Office of Financial Regulation) and consulting firms (Capital Markets Compliance, LLC & JE Compliance Consulting, LLC). I bring to the table a wealth of experience which includes: • In depth knowledge of investment advisors, municipal advisors and broker dealers • Experience with SEC, FINRA, MSRB and State Securities laws and regulations • Experience conducting both regulatory and mock regulatory examinations • Experience conducing independent AML reviews • Creating, reviewing and revising broker dealer, investment advisor, and municipal advisor written supervisory procedures • Experience in communicating with regulators • Experience with Form ADV, Part 1, Part 2A and Part 2B • Experience with Form MA and MA-I • Experience with Form BD, U4 and U5 • Experience with Investment Advisory applications both on the State and the Federal level • Experience with Broker Dealer applications with FINRA, the SEC and the States • Experience interpreting state registration requirements/exemptions • Researching regulatory requirements • Researching clerk of court records