Allison G. Jaffe
Principal and Director of Compliance Programs
Allison has worked in compliance for more than 15 years, holding roles with Broker-Dealers and Investment Advisers, and serving as a Chief Compliance Officer (CCO). She adeptly built and maintained comprehensive compliance programs for firms of all sizes, guiding them through numerous regulatory exams. In addition to serving as CCO and consultant to numerous investment managers, Allison works to maintain the compliance programs of our clients as well as integrate our systems, teams and talent within 3iCO. With a career that began in finance in 1993, she quickly rose to Syndicate manager in the Broker-Dealer sector before specializing in institutional work with large clients on the NYSE buy side. Her practical industry knowledge enables her to excel in building and maintaining robust compliance programs tailored to the needs of financial firms.