Rossby Financial, a Melbourne, Florida-based tech-forward, open-architecture enterprise registered investment advisor, has appointed Marissa Harris, CERP, as Chief Compliance Officer. Harris brings nearly 20 years of experience leading business line risk and compliance teams across the financial services industry, and her hire comes as the firm says compliance risks in areas including cybersecurity, AI, and privacy are growing in complexity and regulatory scrutiny.
Before joining Rossby, Harris founded JBD Risk & Compliance and previously held senior compliance and risk roles at Synchrony, where she served as senior director of business line risk management, as well as chief compliance officer at JLA Securities, senior director of business line risk management at Ally Invest, and compliance manager at LPL Financial. In her new role, she will oversee compliance across Rossby’s network of advisors and firms, which operates a variety of business models under a transparent, subscription-based pricing structure that allows advisors to keep 100% of their payouts.
Founded in 2023 by Andrew J. Evans, Rossby has grown to approximately $576 million in client assets and positions itself as an advisor-first platform built on open architecture technology, engaging compliance tools, and data analytics. The firm’s pricing model is designed to give advisors maximum independence and flexibility. Harris is one of three new senior leaders to join Rossby in recent months, following the previously announced appointment of Grier Rubeling to lead marketing, business development, and transition assistance.
KEY QUOTES:
“Marissa has been a powerhouse in compliance throughout her career. Her keen insights and thoroughness will benefit not only our firm but the advisors we serve.”
Andrew J. Evans, Founder, Rossby Financial
“While AI is quite exciting and will bring a lot of efficiencies to the financial services industry, it also requires a deep understanding and strong guardrails to ensure compliance. That is just one area that I will be focusing on during my tenure at Rossby. It’s an exciting time to be at the firm.”
Marissa Harris, Chief Compliance Officer, Rossby Financial
