Elisha Jennings, IACCP® has oversight responsibility for compliance matters at Piedmont Investment Advisors, Inc. Ms. Jennings is responsible for the development, implementation and enforcement of Piedmont’s policies and procedures relating to ethics and compliance requirements, including the firm’s Compliance Manual, Code of Ethics and other supervisory procedures. She is the primary liaison for regulatory and client audits and is also responsible for educating the firm’s personnel on compliance policies and best practices as they relate to business practices.
Concurrently, Ms. Jennings is the Assistant Vice President of Compliance at FIS Group and supports the compliance and business operations functions of the firm. Prior to joining FIS Group, Ms. Jennings spent over four years working in the financial services industry with a focus on high net worth clientele at Walnut Asset Management LLC in Philadelphia, PA. She played a pivotal role in compliance infrastructure, which supported the company’s growth in assets under management.
She was responsible for high security activities including the receipt and internal routing of client correspondence as well as the ongoing reviews of employee trading activity and code of ethics compliance. Ms. Jennings monitored all employee and related party investment accounts for compliance with code of ethics and SEC Regulations and worked directly with the trading department and the Chief Compliance Officer. She was the manager of office administration services for a team of portfolio managers and retail brokers with approximately 1,300 client accounts and $1 billion of managed and retail brokerage assets. Ms. Jennings also served as the primary point of contact for all incoming client requests, and was responsible for maintaining a deep working knowledge of the firm’s operations to ensure that inquiries from a demanding group of clients were resolved promptly and efficiently.
Ms. Jennings holds an interdisciplinary Bachelor of Science degree in Business Administration and Finance from the University of Phoenix. She also holds a Masters in Business Administration (MBA) with a concentration in Management from Eastern University. In addition, Ms. Jennings holds a certificate of course completion in Contract Law from Harvard University.