Ashley serves as the Director of Compliance for Matrix. Her responsibilities include oversight of the firm’s compliance policies and procedures to ensure they meet regulatory requirements, providing direction on regulatory matters and day-to-day compliance activities, and providing training as needed.
Prior to joining Matrix, she was a Senior Compliance Officer with FIS Brokerage & Securities Services LLC. Ashley received a B.S. in Finance with a minor in Economics from Bradley University. She is currently qualified as a FINRA General Securities Representative (Series 7), General Securities Principal (Series 24), Uniform Securities Agent (Series 63), Municipal Advisor Representative (Series 50), Municipal Advisor Principal (Series 54) and Certified Anti-Money Laundering Specialist (CAMS).