Anika Jones
Anika Jones is an experienced attorney and compliance professional who has served the securities industry for over two decades. Anika is General Counsel and Chief Compliance Officer of Kelly Financial Group, LLC ("The Kelly Group") where she helps ensure that the firm’s corporate compliance program is understood and demonstrated at every level.
Prior to joining The Kelly Group, Anika was Of Counsel at Gloor Law and Arbitration where she represents broker-dealers, investment advisors and their representatives in litigation, arbitration, and regulatory matters. In addition, she was the founder and Managing Partner of RIA Gateway Compliance, LLC, a firm that provides financial services compliance consulting to broker-dealers and registered investment advisors. Before joining Gloor Law and Arbitration and launching RIA Gateway Compliance, Anika was a Vice President and Counsel for Morgan Stanley, an international investment bank and financial services company. Anika counseled Morgan Stanley’s wealth management division on customer-alleged sales practice violations related to its broker-dealer and investment-advisory businesses, as well as regulatory inquiries arising from customer complaints. Anika also held several positions with Campbell & Company, an alternative asset manager and registered investment adviser, where she provided counsel and guidance on a wide array of matters including compliance, regulatory, corporate governance, risk, prime brokerage, vendor management, product structuring and distribution.
Anika earned a JD from the University of Maryland School of Law and a BS and MS in Sociology from St. John’s University. She is an active member of the Maryland State Bar Association and is on the Board of Directors of and a volunteer for the Pro Bono Resource Center of Maryland.