Clare Ellis
- Role
- Director of Compliance at Stash
- Location
- Brooklyn, NY, US
- LinkedIn followers
- 500 followers
About Clare Ellis
With over a decade of experience in compliance and advisory roles, I specialize in…
Experience
Director of Compliance
Feb 2023 — Present
Leads a team reviewing and approving content for compliance with securities laws, rules, and regulations and with the firm’s ethical and reputation expectations. Provides up-to-date advice on regulatory compliance requirements with respect to the development and maintenance of the firm’s advertising, and provide full lifecycle support of cross-functional guidance on applicable consumer financial protection and securities laws, rules, and regulations. Coordinates with Product, Brand, Marketing, Legal, Engineering, Operations, and Revenue stakeholders to assist with new business initiatives and regulatory requirements. Implements and develops firmwide training and testing programs.
Education
Bard College
Bachelor's degree, Art History
2007 — 2011
Skills
- Legal Compliance
- Organizational Development
- Microsoft Office
- Community Outreach
- Corporate Development
- Higher Education
- Compliance
- Grant Writing
- Database Administration
- Nonprofits
- Organizational Leadership
- Organizational Effectiveness
- Student Development
- Standards Compliance
- Creative Writing
- Research
- Employment Law Compliance
- Editing
- Office Administration
- Teaching
- Organizational Design
- Fundraising
- Volunteer Management
- Program Development
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