LeeAnna Glessing

LeeAnna Glessing is a Consulting Expert at Bates Group with more than 30 years of experience in Broker Dealer (BD) and Investment Adviser (IA) compliance, financial operations, and project management. She has held numerous senior leader positions including Chief Financial Officer, interim Chief Compliance Officer, Compliance Director, and Project Manager in several large financial-service firm affiliate BD, IA, and dual-registrant firms.

During the 12 years prior to joining the Bates Group, LeeAnna held several BD and IA compliance roles. She was the Investment and Securities Compliance Director – FLOD (First Line of Defense) for Silicon Valley Bank where she supported management’s risk self-assessments, compliance remediation and controls for the affiliated BDs, IAs, and venture capital firm. Her experience includes providing BDIA and RNDIP compliance advice in a 5-state region of JPMorgan Chase to bank and wealth-management personnel, conducting branch visits, and evaluating transactions for sales practice and market conduct issues. As the Compliance Director for Capital One, she managed a team supporting all compliance functions, acting as the BD and IA interim CCO as needed, for its online self-directed investor BD and robo-advisor and 401(k) ERISA 3(38) IA firm.

She was with Symetra Life and Investments for over 17 years where she successfully established, scaled, and managed compliance and project teams for new registrant and aggressive growth initiatives, including numerous technology and back-office solutions. She also functioned as the BD Chief Financial Officer and FinOp for 5 years for the firm’s retail BDIA and its mutual fund and variable products principal-underwriter BD affiliate, managing a team supporting all accounting, commission and concession processing, financial reporting, budgeting, and forecasting.