To improve the overall quality of investment firms by developing professional competence, employee satisfaction, and compelling and integrated corporate strategy.
Lauren brings more than 25 years of experience to the practice. She has worked at many diverse Northwest regional firms. Her experience and background include accounting, operations, trade support, human resources, and compliance for financial services firms offering varied services, including clearance and settlement, subscription business and insurance, investment banking, private placements, research, equity trading, and proprietary fixed-income trading. Prior to joining Precedent, she served as Chief Compliance Officer and a member of the executive committee for a fixed-income inter-dealer broker.
Lauren likes compliance and enjoys working with people – she is proof that strong compliance and engaging repartee aren’t mutually exclusive. She is able to look at complex issues from varying perspectives, helping to bridge executive-level business needs with operational functionality and compliance requirements. She is adept at writing policies and procedures that make sense and can actually be used. Her multi-layered experience, her role as an executive officer and her participation in ongoing workflow provides firms withinsight and depth as they look to drive growth initiatives while remaining well within appropriate compliance parameters.
Lauren has a degree in Linguistics from the University of Washington. She has held the Series 7, 24, 53, 63 and 65 licenses.
Michelle brings over 30 years of diverse management and executive experience in the financial services field, ranging from operations and compliance to conflict management and leader development. Michelle has devoted her career to the thoughtful convergence of operational expertise and human engagement as essential to the thriving organization. She is committed to harmonizing the pressing business imperatives of clients, and the often complicated and contradictory regulatory requirements they must observe, with professional development at both the team and managerial levels. She is particularly focused on helping organizations successfully navigate transitions and keep conflicts at a productive and energizing level.
Michelle got her start in 1985 as the Internal Controls Manager for a Seattle-based self-clearing firm. Prior to Precedent, she served as Senior Vice President and Chief Compliance Officer for dual registrant McAdams Wright Ragen, Inc., with total client assets of over $8 billion. As a member of the executive team, she helped shepherd the organization’s growth from about 60 employees in 2006 to over 170 in 2012, with branches throughout the Pacific Northwest. During that period, she developed and managed compliance protocols for an extensive range of services including core brokerage activities, proprietary equity and bond trading, institutional sales, investment banking, and proprietary research. Her compliance role was especially important in the rapid evolution of the firm’s transition toward a substantial investment advisory business with assets under management of over $2 billion.
Michelle completed NTL's Organization Development Certificate Program and is qualified to administer the MBTI® Instrument. Michelle currently holds the series 4, 7, 24, 27, 55 and 79 securities licenses, and previously held the Series 53.
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Janice brings 40 years of experience working for financial services companies to the practice. She began her career as a registered representative with a Seattle-based broker-dealer. During the course of her tenure she wore many hats: sales, operations, and office management, general principal and branch manager, ultimately joining the executive suite as Director of Compliance. In addition, she was responsible for developing the investment advisory affiliate of the firm as well as serving as its Chief Compliance Officer.
Prior to co-founding Precedent, she served as Managing Director, Chief Compliance Officer, and Human Resources Director for Freestone Capital Management ($2 billion in AUM at the time), which included Freestone Securities, a registered broker-dealer, and Freestone Investments, a registered investment advisor to Freestone’s hedge fund and fund of funds complex.
Janice is an expert in convoluted regulatory issues and, unusual for this industry, also brings significant people skills, including facility with managing major conflict, navigating competing priorities, and successfully completing large-scale projects with limited resources. Her sense of humor is central in helping her find creative solutions to complex problems. Janice brings a unique and comprehensive background in broker-dealer and investment adviser management to her consulting practice. One of her passions is mentoring young professionals into becoming emotionally intelligent leaders. Noting the lack of professional organizations for women in financial services prompted her to found the Seattle Chapter of Financial Women International, which she chaired from 2006-2009.
Janice has been active in the compliance arena through an organization she founded in 2005, and chaired until 2022, the Northwest Compliance Professional Roundtable. Between 2013 and 2020 Janice also served on the Board of Directors of the Seattle Alternative Investment Association, a Seattle-based membership organization that facilitates networking and educational forums targeted to individuals and firms managing pooled vehicles and other alternative investments.
Janice has a degree in Business Economics from Colorado State University. She has held the Series 7, 24, 53, 55, 4, 63, and 65 registrations.
Jesse brings more than 25 years of experience to the practice. He has worked for several local firms in both the broker/dealer and investment advisor space over the course of his career and brings additional depth to the Precedent team related to trade monitoring, Code of Ethics management, Policy creation, and Compliance Program review.
He began his career with SAFECO Life and Investment’s proprietary broker/dealer, where he worked his way to the level of registered principal, conducting suitability reviews of client investments in registered pooled investment vehicles and reviewing marketing materials for 900+ registered representatives. Prior to joining Precedent, he served as a senior compliance officer at Parametric Portfolio Associates, managing their portfolio surveillance program for 200+ institutional and 30,000+ wealth management accounts.
Jesse possesses a personal passion for helping to bridge the gap that can sometimes exist between a firm’s compliance program and the firm at large. He enjoys helping firm staff understand how their firm’s compliance program applies to their day-to-day work, and the importance of adhering to a firm’s compliance policies and procedures.
Jesse also holds the Investment Adviser Certified Compliance Professional® (IACCP®) designation, a nationally recognized professional standard in advanced compliance education. He has also previously held the FINRA Series 7, 24, and 63 licenses.
Quin graduated from St. John's University (Queens, NY) in 2020 with a BS in TV & Film. That year, he became interested in the financial markets, subsequently passing FINRA's Securities Industry Essentials (SIE) exam, and he joined the Precedent team in 2021 to lend a hand with client compliance administration. In addition to helping support clients and his colleagues, Quin has a soft spot for theatre, chess, and music (listening to and playing). He is excited to expand his understanding of the financial services industry with all of its complexities and loves being able to put newfound knowledge and skills to use while he learns and grows with Precedent Partners.