Jessica Harris

Jessica is a Managing Director at PwC in the Cyber, Risk and Regulation practice group. Jessica manages client engagement centered around trade surveillance, market manipulation, risk assessments, fraud investigation, and other CEA regulatory compliance matters.

Prior to joining PwC, she worked in conjunction with numerous government agencies and regulators to provide detailed analyses of key information in support of investigations and litigations; these agencies included: the FBI, DOJ, IRS, CFTC, NFA, FCA, and other foreign regulators. Jessica has also managed audits of NFA member firms, prepared audit reports, analyzed financial statements to ensure integrity, and conducted investigations to discover fraud and rule violations.

Financial Intermediary Management Consulting

• Assessed US based and foreign Swap Dealers in preparation for an NFA audit in the areas of external business conduct rules, swap trading relationship documentation, trade surveillance, initial margin segregation, and recordkeeping requirements.

Other Relevant Experience

• Led investigations into recordkeeping violations relating to block trading specific to EFRPs and audit trail logs.
• Conducted investigation relating to binary options, sales solicitation, and fund misappropriation
• Assisted CFTC and U.S. DoJ in investigating potential manipulations in commodity futures markets by several global bank traders.
• Assessed allegations of back-tested misstatements of performance by the SEC’s Division of Enforcement and Division of Economic and Risk Analysis.
• Investigated allegations of trading fraud of a large proprietary energy  trader of manipulating position reports and risk management systems to cover substantial losses.
• Conducted a risk assessment of both a Futures Commission Merchant and high frequency trading firm, to identify instances of market manipulation and spoofing. Developed a risk profile to quantify and rank areas of risk in which the firm prioritizes an actionable plan to address such risk.
• Investigated allegations of front running related to securities trading of a fund manager, which was being investigated by the SEC. Created a risk model and criteria to identify relevant orders and transactions.
• Led a team of SMEs of a major futures brokerage pursuant to a CFTC consent order involving issues of trade surveillance and regulatory control, recordkeeping, and information systems.

Jessica received a Bachelor of Business Administration from Western Michigan University and Master of Engineering, Systems Engineering from the University of Virginia. She is currently pursuing a Postgraduate Certificate in Financial Risk engineering.