Jill W. Ostergaard is a Partner and Chief Compliance Officer for Exos Securities LLC, a fin-tech start-up broker-dealer. Previously, she was Head of Americas Compliance for Morgan Stanley and Barclays Capital and Assistant General Counsel at Pershing. Ms. Ostergaard began her career as an attorney with the SEC’s Division of Market Regulation and in the Office of Commissioner Steven Wallman.
Ms. Ostergaard served on FINRA’s National Adjudicatory Council from 2012-2014 and was elected chair in 2014; she also served 10 years on FINRA’s Compliance Advisory Committee. Ms. Ostergaard has been an active participant in SIFMA as a long-standing member of the Compliance and Regulatory Policy Committee and served as Chair from 2006 – 2008. She also assisted in drafting the 2005 and 2013 SIFMA Whitepapers on the Evolving Role of Compliance.
Ms. Ostergaard graduated cum laude from Hope College and received her J.D. from Loyola University of Chicago.