Caroline Hall

Caroline Hall is the Chief Compliance Officer and Deputy General Counsel of Janney Montgomery Scott LLC.  In her role, she manages a team of compliance analysts and insures that the firm has a reasonably designed compliance program.  She also collaborates with other members of the law department on regulatory matters and investigations.  Prior to joining Janney, she was a Senior Vice President and Associate General Counsel of Raymond James Financial.  In her role, she heads the Regulatory Enforcement and Investigations unit in the Firm’s law department.  Ms. Hall and her team conducted internal investigations into a variety or regulatory issues and represented Raymond James and its subsidiaries and employees in enforcement and pre-enforcement matters. Prior to joining Raymond James, Ms. Hall worked at UBS for 10 years as an in house lawyer and spent 10 years in private practice representing a variety of financial institutions in litigation and regulatory matters. Ms. Hall has practiced before the Federal Reserve, the SEC, the CFTC, FINRA and many of the State Regulators. Ms. Hall has been a speaker at a variety of industry conferences speaking on topics related to enforcement matters pursued by the State, Federal and SRO regulators. Ms. Hall graduated from Hofstra University School of Law with Honors and Vanderbilt University with a BA in Political Science and Psychology.