Jenny Duncan
Advisory Compliance
- Role
- Senior Compliance Director - Advice & Wealth Management at Vanguard
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
General Business & ManagementView LinkedIn profile
About Jenny Duncan
Compliance professional with over 35+ year’s experience in both broker-dealer and…
Experience
Senior Compliance Director - Advice & Wealth Management
Mar 2025 — Present
Education
Georgia State University
MS
1983 — 1986
Georgia State University
BS
1980 — 1983
Emory University School of Law
Juris Master
2017 — 2019
Virginia Commonwealth University - School of Business
MBA
1997 — 2000
Skills
- Series 24
- Ofac
- Derivatives
- Retirement Planning
- Finra
- Equities
- Bonds
- Investment Advisory
- Capital Markets
- Series 7
- Options
- Financial Services
- Regulatory Requirements
- Financial Markets
- Trading
- Investment Banking
- Wealth Management Services
- Etfs
- Finance
- Brokerage
- Bloomberg
- Continuing Education
- Securities Regulation
- Securities
- Financial Risk
- Asset Management
- Aml
- Alternative Investments
- Private Equity
- Investments
- Asset Allocation
- Mutual Funds
- Fixed Income
- Risk Management
- Investment Management
- Wealth Management
- Financial Advisory
- Kyc
- Uniform Combined State Law
- Anti Money Laundering
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