SVP, Chief Compliance Officer
Kelly joined Scottrade, Inc.’s Legal Department in 2011, and has served as the firm’s Chief Compliance Officer since 2013. She is responsible for implementing and administering all aspects of the compliance programs for all lines of business of Scottrade, Inc. and Scottrade Investment Management, Inc. Kelly regularly interfaces with FINRA and the SEC, updating regulators on key initiatives, participating in exams and remediating issues. She led a multi-year effort to modernize the compliance program at Scottrade, including developing a high performing team, implementing a technology strategy and redesigning policies and procedures across the firm. Kelly regularly advises executive leadership and serves in leadership roles across the firm, including on the Brokerage Leadership Team, Enterprise Risk Committee and Enterprise Compliance Committee. Kelly has also been integral to the execution of key initiatives throughout her tenure, including serving on steering committees for Scottrade Investment Management, LLC, Broadridge, ScottradePRO, WORM remediation, Guidance in Branches and DOL. She participated in the firm’s first Leadership Development Program and received an award from the brokerage leadership team for excellence in partnership. Kelly is Series 7, 24, 66 and 4 licensed. Kelly graduated summa cum laude from Southeast Missouri State University in 2001, earning a Bachelor of Science degree with a double major in Communication Disorders and Psychology. She then attended Washington University School of Law in St. Louis, where she served as Managing Editor of the Washington University Law Review. Kelly practiced law in St. Louis for several years before joining a local full service advisory firm as their sole in house legal and compliance attorney.