EP 73 Humanizing, Demystifying, and Myth Busting Compliance with Jessica Sexton, Chief Compliance Officer of Independent Advisor Alliance

In the Suite

Today I’m ecstatic to welcome the first Chief Compliance Officer In The Suite, Jessica Sexton, from Independent Advisor Alliance (IAA). Based in Charlotte, NC, Independent Advisor Alliance provides comprehensive solutions to allow financial advisors to move into private practice.

When founder and CEO Robert Russo started the firm in 2013, he did it with only seven advisors. At this release, the firm has grown to over 215 partners across 23 states. And Jessica is part of the team that continues to pave the way for growth.

But before becoming Chief Compliance Officer in February 2014, Jessica went through a spectrum of experiences

She began her career at LPL Financial in 2006, where she attributes much of her growth to amazing managers and a supportive team.

And when the recession hit in 2009, she made a significant transition to serve as a Project Manager for Impact Technologies Group, Inc., thanks partly to keeping in touch and forming meaningful relationships. Jessica also holds Series 7, Series 24, and Series 66 licenses.

One of the many gifts you’ll discover about Jessica Sexton in this episode is her ability to understand and know her strengths, particularly in compliance, and her passion for back-office operations.

In today's episode, Jessica humanizes, demystifies, and busts many negative connotations related to her role in compliance. She gives detailed answers on what exactly her work entails and shares with us a real overview of her day-to-day responsibilities. She also talks about the opportunities and challenges she and the compliance team face and the skills needed to execute In The Suite.
(01:55): Who is Independent Advisor Alliance
(04:30) What Does a CCO exactly do?
(10:30) Jessica’s journey to CCO
(21:20) Skills Required to Become a CCO
(25:57) The Role of Technology in Compliance
(27:32) Document. Document. Document
(32:54) Dealing with Red Flags
(37:17) Jessica’s YouTube series
(39:22) Jessica’s love for horse riding
(44:44) Jessica was part of the Coronavirus research study
(47:40) Best Way to Contact Jessica
(49:15) Jessica’s choice of charity
Resources
Jessica Sexton LinkedIn
Jessica Sexton Bio
Independent Advisor Alliance
Robert Russo, CEO of Independent Advisor Alliance
Independent Advisor Alliance on YouTube
The Rotary Foundation
Communities in Schools®

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