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Cherie Jolly is Chief Compliance Officer for Dynamic Wealth Advisors, an investment adviser servicing independent financial advisory practices and their clients through the U.S.
Cherie started her career in the securities industry in 1989 as a wire room operator for an investment company in Palo Alto, CA. She gained experience around securities transactions, fund wires, new accounts, client service and other related operational functions for broker-dealers. Over the next several years, Cherie held various positions, ranging from office manager and director of financial planning to new business director and head of operations and compliance. She has focused on compliance for the past 16 years.
Cherie has extensive expertise and passion about effective compliance programs. She’s served in senior and chief compliance officer roles for several broker-dealers and registered investment advisers. Cherie also had the opportunity to work within the investment divisions of large U.S. banks, where she served as chief compliance officer and in other senior compliance positions for their registered investment advisers and broker-dealers. She developed an expertise in creating, implementing and executing compliance programs, risk assessments, testing, and monitoring programs for broker-dealers, registered investment advisers and trust departments.
Cherie’s experience and working knowledge of broker-dealer and registered investment adviser operations provides her a strong understanding of the advisory business and how to effectively incorporate controls and systems to promote compliance and mitigate risk. Her operational experience also enables her to thoroughly evaluate potential risks and gaps, and propose solutions that are both compliant with regulatory requirements and satisfy the needs of the business.
Cherie has been a FINRA arbitrator since 2003 and is a frequent speaker at industry compliance meetings. She holds the Investment Advisor Certified Compliance Professional (IACCP) designation and passed the Series 7, 24 and 66 exams.