Industry expert brings over 12 years of
compliance, supervision and operations experience to her new role
at growing consultancy
SANTA
FE, N.M., July 9, 2024 /PRNewswire/ -- Essential
Edge Compliance Outsourcing Services, LLC (Essential Edge), which
provides third-party compliance services for broker-dealers and
registered investment advisers (RIAs), has announced the hiring of
Jamie Schlag as Director. Schlag,
who is based in Minneapolis,
Minnesota, will manage client relationships and collaborate
with Essential Edge clients to evaluate compliance programs and
create policies and procedures. Additionally, she will be
responsible for reviewing clients' regulatory content and providing
them with training and oversight recommendations. She will report
directly to Sander Ressler, the firm's Co-Owner and Managing
Director.
"We're very excited to bring someone with Jamie's credentials,
expertise and commitment to client service on board," Ressler said.
"As the regulatory environment in the wealth management industry
continues to evolve and become more complex, demand for Essential
Edge's expert, comprehensive compliance supervision and regulatory
solutions has dramatically risen. We like to think of ourselves as
an extension of our clients' internal compliance department, and
Jamie's broad knowledge of the regulatory ecosystem, along with her
relationship-building skills, make her a perfect addition to our
already stellar team."
Prior to joining Essential Edge, Schlag served as Senior
Compliance Officer/Anti-Money Laundering Compliance Officer at
Gradient Securities, LLC, an independent broker-dealer and SEC
Registered Investment Advisory firm located in Arden Hills, Minnesota. There, she was
responsible for overhauling the firm's policies and procedures,
oversaw the firm's
registered representative and internal
employee hiring approval and licensing department,
and developed and conducted annual and ongoing training for all
associated persons, including Annual
Compliance Meetings, regulatory and firm initiatives, Firm Element,
Regulatory Element and NASAA Model Rule IAR Continuing Education.
Schlag maintains FINRA Series 7, 24, 52, 53, 57 and 66 licenses as
well as Certified Regulatory and Compliance Professional (CRCP)®
and Certified Anti-Money Laundering Specialist (CAMS) designations.
She currently serves on the Financial Services Institute (FSI)
Compliance Council and NSCP's Regulatory Advisory Committee and was
previously a committee member for the FINRA Qualification Exam
Content Committee.
"I am beyond thrilled to be part of the Essential Edge team and
work alongside my new colleagues to provide top-tier compliance
support to our clients," Schlag said. "Meeting ever-changing
regulatory mandates is more important than ever and we are
committed to delivering the outstanding support our clients expect
and deserve."
About Essential Edge Compliance Outsourcing Services,
LLC
Essential Edge Compliance Outsourcing Services, LLC
("Essential Edge") is a strategic consultancy specializing in
compliance and regulatory affairs. Headquartered in Santa Fe,
New Mexico, and encompassing 25+
seasoned compliance supervision professionals across the country,
Essential Edge delivers outsourced branch inspections to Offices of
Supervisory Jurisdiction (OSJs) and independent financial advisor
practices affiliated with broker-dealers throughout the country.
Essential Edge's service offerings are designed to rapidly identify
and resolve compliance issues in branch office sales and operations
for independent broker-dealers before they escalate into expensive
and time-consuming issues. For more information, please
visit www.eeoutsourcing.com.
Media Contact:
Brandon Blackwell
Haven Tower Group
bblackwell@haventower.com
424-317-4868
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SOURCE Essential Edge Compliance Outsourcing Services, LLC