Jill Ostergaard

Jill W. Ostergaard is a Partner and Chief Compliance Officer for Exos Securities LLC, a fin-tech start-up broker-dealer seeking to reimagine institutional finance. 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 with the Office of Commissioner Steven Wallman.

Ms. Ostergaard currently serves on FINRA’s Small Firm Advisory Committee and previously has served on FINRA’s National Adjudicatory Council from 2012-2014 (elected chair in 2014); she also served 10 years on FINRA’s Large Firm 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 SIFMA Whitepapers on the Evolving Role of Compliance.  Ms. Ostergaard has spoken on a number of subjects including:  ethics, supervision, risk assessments, behavioral economics and conduct risk.

Ms. Ostergaard graduated cum laude from Hope College and received her J.D. from Loyola University of Chicago.