FacultyFaculty/Author Profile
Lauri Scoran

Lauri Scoran

Jefferies LLC
Chief Compliance Officer
New York, NY, USA


Lauri Scoran is currently Managing Director and Chief Compliance Officer at Jefferies LLC, where she is responsible for overseeing all aspects of the compliance programs for multiple Jefferies broker dealers and swap dealers, as well as for the Firm’s futures commission merchant and asset management affiliates.  She is also the Chief Compliance Officer of Leucadia Asset Management, LLC.  Lauri advises the Firm’s various business lines and functional areas on a wide range of compliance and regulatory matters and interacts frequently with the Firm’s regulators.

Lauri has more than 25 years of compliance experience including senior compliance roles at Merrill Lynch, Credit Suisse (formerly DLJ) and Smith Barney.  She has extensive product knowledge with investment banking, origination, research, sales and trading of all equity, debt, futures, foreign exchange, commodity, exchange traded and OTC derivative and structured products.  Her broad experience also includes expertise in broker-dealer financial and operations compliance regulation and investment advisory compliance including registration and regulation of fund managers and private funds.  Lauri is a member of FINRA’s Compliance Advisory Committee (CAC), where she provides input regarding the effect of current and proposed securities rules and regulations on members engaged in retail, institutional and investment banking activities.  Lauri is also a member of the Executive Committee SIFMA’s Compliance & Legal Society and Vice President of Strategic Planning.  She has also participated on other SIFMA committees and working groups and with numerous industry working groups.  Lauri holds the following licenses: Series 7, Series 4, Series 9 & 10, Series 14, Series 24 and hold a Partners, Directors and Senior Officers designation in Canada.

Lauri Scoran is associated with the following items:
Web Segment  Web Segment Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
Transcripts  Transcripts Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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