Harris’ management of compliance and risk for almost two decades across various firms lends itself to the variety of business models with Rossby
Rossby Financial (“Rossby”), a tech-forward, open architecture, enterprise registered investment advisor (RIA), announced its new Chief Compliance Officer Marissa Harris, CERP, who has spent nearly 20 years across the financial services industry leading business line risk and compliance teams. Her addition comes as the world’s compliance risks in the areas of cyber, AI, privacy, etc. are increasing; her knowledge will ensure that Rossby and its member advisors and firms remain ahead of regulations and potential risks.
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While AI is quite exciting and will bring a lot of efficiencies to the financial services industry, it also requires a deep understanding and strong guardrails to ensure compliance, said Rossby Financial’s Chief Compliance Officer Marissa Harris.
Since Rossby’s founding about three years ago, the firm has welcomed a variety of business models under its umbrella as it offers pricing that leaves more flexibility to advisors and firms. Harris will manage compliance across this steadily growing RIA.
“Marissa has been a powerhouse in compliance throughout her career,” said Andrew J. Evans, founder of Rossby. “Her keen insights and thoroughness will benefit not only our firm but the advisors we serve.”
Before taking the compliance helm at Rossby, Harris was founder of JBD Risk & Compliance, senior director of business line risk management at Synchrony, chief compliance officer at JLA Securities, senior director of business line risk management at Ally Invest and compliance manager at LPL Financial.
“While AI is quite exciting and will bring a lot of efficiencies to the financial services industry, it also requires a deep understanding and strong guardrails to ensure compliance,” Harris said. “That is just one area that I will be focusing on during my tenure at Rossby. It’s an exciting time to be at the firm.”
Harris is one of three new leaders who recently joined Rossby. Marketing, business development and transition assistance guru Grier Rubeling’s new position was announced last month.
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