Julie Dixon

CEO at Waystone Compliance Solutions

Speaker

Julie Dixon is the CEO of Waystone Compliance Solutions and has over 20 years of experience in financial services. A regulatory compliance expert, Julie has a wealth of experience in both buy-side and sell-side that covers both the public and private markets and is based in our North America operation.

An entrepreneur and business strategist, Julie founded her own firm, Titan Regulation & Advisory in 2011 in direct response to increasingly complex regulatory compliance demands. Over the past decade, Julie has overseen the growth and strategy of the business and built a team of regulatory compliance experts that offer award-winning client service, with Titan becoming the premier provider of compliance solutions, offering clients a service that included, leading edge research, proprietary processes and a dedicated relationship-based service. In 2021, Titan Regulation & Advisory joined the Waystone Group to form Waystone Compliance Solutions.

Prior to her career at Titan, Julie spent nearly nine years with Citadel Investment Group, serving first as Vice President and Head of US Compliance and later as Director and Head of Mortgage Compliance. In the former role, Julie was responsible for all fund and broker-dealer related regulatory compliance for one of the largest hedge fund complexes and the largest electronic options market maker in the United States. Julie created a full suite of compliance surveillance and monitoring technology and developed the firm’s first core fund and broker-dealer compliance programmes. In her later role at Citadel, Julie was responsible for regulatory compliance, quality control, internal audit and legal affairs for a wholly owned mortgage origination and servicing subsidiary.

Additionally, Julie held positions with two other large US-based fund complexes, serving as Global Compliance Director and Co-Head of Compliance. Most recently Julie served as Chief Compliance Officer for a Chicago-based high frequency trading firm with responsibility for US and UK broker-dealer compliance and legal affairs.

Julie’s extensive experience and background in financial services regulatory compliance includes facing the SEC, FINRA, CFTC, NFA, NYSE, NASDAQ, CHX, CBOE, the UK FCA, the Hong Kong SFC, Fannie Mae and Freddie Mac as well as offices of the Attorney General in many states on behalf of financial services organisations.

Julie holds a Bachelor of Arts Degree from the University of Missouri and completed graduate work in finance and accounting at Loyola University of Chicago.