Matt Dunn is Chief Compliance Officer at Jessup Wealth Management, bringing over 20 years of experience in compliance and risk across Investment Advisor, Private Fund, and Broker-Dealer settings, including more than 14 years serving as in-house CCO for firms managing over $30 billion in AUM. He has worked from every angle of the industry: as a regulator, a consultant, and an in-house executive, starting his career in brokerage operations before serving as an examiner for NASD/FINRA and eventually transitioning in-house.
Much of his career has centered on helping advisory firms manage rapid growth, whether organic or through M&A. He has deep experience setting up and overseeing private funds from an operational, marketing, and sales practice standpoint, and has successfully guided firms through numerous regulatory examinations, the establishment of new RIAs and broker-dealers, and compliance support for more than 20 acquisitions.
As CCO, Matt’s focus has always been building programs that protect advisors from every angle, whether the threat comes from regulators, clients, fraudsters, or employees.
Credentials & Licenses
- CFA charterholder, CFA Institute
- eMBA, Weatherhead School of Business, Case Western Reserve University
- Certified Securities Compliance Professional (CSCP), National Society of Compliance Professionals
- Series 7, 66, 24, 14, 53, 31, 79, 99, 27 (inactive)
- Ohio Life/Health Insurance License