Laura Grillet-Aubert

Laura Grillet-Aubert is a Consulting Expert at Bates Group with more than 30 years of experience in legal and compliance regulatory matters. Her career has included 6 years as a New York Stock Exchange Trial Counsel as well as Assistant General Counsel and Compliance Officer roles with top-tier bank holding companies/dual registrant financial entities.

Prior to joining the Bates Group, Laura was an Executive Director and Compliance Officer with JPMorgan Chase where she managed the regulatory examination team covering the bank, securities and state regulatory examinations, and on-going supervisory engagements for the firm’s asset management and wealth management businesses. Her compliance coverage experience includes 12 years with Citigroup where she advised the retail broker-dealers, RIA, and institutional businesses on regulatory matters and 15 months with Goldman Sachs where she covered the firm’s private wealth management regulatory training requirements. She has held Assistant General Counsel positions with PaineWebber (now UBS) covering regulatory investigations and inquiries and Gruntal & Co., where she acted in a legal advisory capacity for the firm’s broker-dealer compliance areas.

Laura earned a bachelor’s degree in English Studies from Queens College, CUNY during which time she also studied at Leeds University in the United Kingdom via the CUNY Study Abroad Program. She obtained her law degree from Brooklyn Law School. In addition to her formal education, Laura was Chairperson for the SIA (now SIFMA) Continuing Education Committee from 2006 to 2007.