Stephanie Austin Ellis
FINRA, SEC, and AML Regulatory Professional | Leadership, People Management
- Role
- Head of Governance, VP at State Street
- Location
- Marlborough, MA, US
- LinkedIn followers
- 500 followers
About Stephanie Austin Ellis
Experienced financial services compliance professional with experience managing a geographically dispersed team conducting exams of broker-dealers, developing comprehensive training programs, and co-chairing employee resource groups to deliver programming related to career development and enhancing networking opportunities.FINRA Licenses: Series 24, 7, 51, 66Other Certifications: Massachusetts Life and Health, FINRA Foundational Crypto Certification, ACAMS candidate
Experience
Head of Governance, VP
Apr 2026 — Present · US
Education
Bentley University
Bachelor’s Degree, Business Administration
2016 — 2019
Skills
- Series 24
- Finra
- Series 7
- Mutual Funds
- Series 63
- Securities
- 401k
- Financial Services
- Investments
- Financial Regulation
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