Jill Ehret

Jill Ehret is a Bates Compliance Director based in St. Louis, MO.  Ms. Ehret is a seasoned securities professional with over 21 years of industry experience bringing practical, application-based insight and approaches to issues presented within broker-dealer and registered investment advisor compliance and operations departments.  She has worked with a wide range of companies providing compliance and operational advice to clients focusing on retail independent models, Financial Technology (“FinTech”) platforms, regional, institutional-based and bank-owned financial institutions.

Prior to joining Bates, Ms. Ehret served as a Senior Consultant and Associate Director of a nationally compliance consulting firm, where she was engaged to conduct compliance program reviews, develop Conflicts of Interest programs, create Written Supervisory Policies and Procedures, advise on operational structures for compliance departments, perform external independent reviews as stipulated through regulatory orders or consents and serve in contract roles of Senior Management positions.  Ms. Ehret has served in leadership roles as the registered Chief Compliance Officer, Designated Supervisory Principal and AML Officer for several regionally based broker-dealers in both full-time and contract arrangements. She is a member of the National Society of Compliance Professionals (“NSCP”) and holds Series 7, 63 and 24 licenses.