Jennifer Selliers, CAMS, CCEP, CSCP

Jennifer Selliers is a Managing Director at Bates Group, where she specializes in operationalizing compliance for a broad range of financial institutions. With over twenty years of experience, Jennifer’s background spans boutique fixed income firms, hybrid and dual registrants, private and other asset managers, and emerging firms launching their first funds. She is recognized for delivering risk-based solutions that allow firms to meet their regulatory obligations and scale with confidence.

Jennifer’s approach focuses on aligning business practices with the complexities of U.S. federal and state securities laws, with an emphasis on the Investment Advisers Act. She serves as a trusted strategic adviser to SEC registered advisers, exempt reporting advisers, and unregistered firms, providing practical, implementation focused guidance on written policies and procedures, compliance program design, oversight and testing, and regulatory risk management. She pairs deep regulatory knowledge with practical business judgment to lead high impact service lines and complex consulting engagements, including:

• Outsourced CCO Services: Providing executive-level leadership and hands-on compliance services to support ongoing adherence to SEC, state and other regulatory requirements.
• Fund & Adviser Structuring: Advising on registration strategy and the development and implementation of tailored compliance programs.
• Compliance Frameworks: Designing and enhancing written policies and procedures, risk control matrices, and scalable compliance infrastructures.
• Risk & Compliance Systems: Steering and executing compliance-related systems implementations such as trade surveillance, marketing review, risk assessment, incident management, and document retention platforms to support effective program execution.

Throughout her career, Jennifer has held senior leadership roles across operational and regulatory functions. Most notably, she served as Director of Compliance for the State of Tennessee Department of Treasury, where she led compliance oversight for more than $60 billion in public assets. In that role, she modernized pre  and post trade compliance programs, strengthened internal controls, and supported major public retirement plans, including 401(k), 457, and 403(b) plans.

Her operational leadership experience also includes oversight of licensing and registration, internal surveillance, branch office examinations, advertising review, and regulatory engagement with the SEC, FINRA, MSRB, and FBI across broker dealers, investment advisers, private funds, and dual registrants. Jennifer’s ability to integrate high-level regulatory strategy with practical business judgment makes her a trusted partner for firms across the industry.