Marissa Harris

Marissa Harris, CERP, is a senior compliance and risk professional with 19+ years of experience helping broker-dealers and investment advisers design, build, and implement effective compliance and risk programs.

In her current role as Chief Compliance Officer, Marissa draws on a strong background of CCO and senior leadership positions at firms such as Rossby Financial, Synchrony Financial, JLA Securities, Ally Invest, LPL Financial, and TradeKing. She specializes in designing compliance frameworks that meet regulatory expectations while remaining practical, sustainable, and aligned to the firm’s operating model.

Known for her ability to “see around corners,” she proactively identifies, assesses, and mitigates compliance risk, reducing regulatory scrutiny. Her approach emphasizes cross-functional partnership, strong governance, and the disciplined execution of compliance processes that scale with growth. She successfully guides firms through complex regulatory environments with a thoughtful, fair, and pragmatic approach that regulators respect and business leaders value.

Marissa holds a B.A. in Economics from Rutgers University, and an MBA from East Carolina University. She holds FINRA Series 4, 7, 24, 52, 53, 63, 65 and 99 licenses, and is an American Bankers Association Certified Enterprise Risk Professional (CERP).