Jerry G. Mauricio
Jerry Mauricio is Senior Vice President and serves as Chief Compliance Officer for Capital One Investing, LLC. Jerry joined Capital One in May 2016 from the Bank of Montreal (BMO) where he was Head of Compliance for the US Wealth Management business and Head of Compliance for Asia. Prior to his time at BMO, Jerry was with BNP Paribas’ Bank of the West where he was Chief Risk Officer for the Wealth Management Group overseeing the compliance and risk functions for the bank holding company’s broker-dealer, registered investment adviser, insurance agency, trust department, asset management group, private banking, capital markets, insurance, and treasury areas. Jerry was also at Lehman Brothers and Bear Stearns where he held various senior compliance roles, including Head of Compliance for Investment Management. He started his career in the industry with the National Association of Securities Dealers’ District 10 office. Jerry also currently serves as an Executive Committee member for SIFMA’s Compliance and Legal Society and co-chairs their Diversity and Inclusion sub-committee. Jerry graduated from the McCombs School of Business at the University of Texas at Austin and holds his FINRA Series 4, 7, 9, and 24 licenses.