Ashley Gauvin

Head of Broker-Dealer Shared Services, RBC Capital Markets, LLC

Ashley Gauvin is the Head of U.S. Broker-Dealer Shared Services for RBC Capital, Markets, LLC where she oversees the branch inspection program, securities registration, and insurance licensing for its institutional and retail businesses. Prior to RBC, Ashley was a member of the Events and Emerging Risks Team within the Securities and Exchange Commission’s Division of Examinations. Prior the SEC, Ashley held Compliance leadership positions at RBC for several years and was an examiner with FINRA. She began her career in legal and financial consulting.

Ms. Gauvin earned a B.S. in Business Administration, with a major in finance and minor in accounting, from Marist College and holds the Series 7 and 66 registrations.