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
[email protected]
424-317-4868
SOURCE Essential Edge Compliance Outsourcing Services, LLC
