Katelyn Stevens

She began her financial services career at FINRA as a Trading and Market Making Surveillance Examiner, where she spent five years conducting examinations of large financial firms across the country. She then spent five years in the surveillance department at Edward Jones before joining Benjamin F. Edwards & Co in 2015 as Associate Vice President and Team Leader of Surveillance, bringing more than a decade of industry experience focused on trading, market-making, and surveillance compliance. 

At Benjamin F. Edwards & Co., Katelyn has played a key role in strengthening surveillance and compliance programs, including implementing a new trade surveillance system, developing surveillance reports, and managing regulatory exams and internal testing functions.  In her current role as Chief Compliance Officer, Brokerage, she draws on her regulatory and industry experience to draft and enforce policies designed to protect the firm and its associates from regulatory, litigation, and reputational risk. Katelyn holds Series 7, 9/10, 24, and 66 registrations.