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Dottie Allison

Lecturer in Law

Dottie Allison

 Dorothy (Dottie) Allison is the Chief Compliance Officer – Investment Advisory at Janney Montgomery Scott LLC in Philadelphia.  Ms. Allison drafts, implements and manages the investment advisory compliance program for Janney and its subsidiaries, including risk assessment and annual compliance review.  Ms. Allison supervises compliance surveillance systems and compliance education programs.  Ms. Allison serves as a member of key firm governance committees, and advises senior management, business line managers and firm counsel as to firm responses to regulatory rules and guidance.


Prior to Janney, Ms. Allison was a Senior Associate at Pepper Hamilton LLP in Philadelphia.  Her experience included organization of, registration of and participation in the regulatory processes of both investment adviser and investment company clients.  Ms. Allison has held similar associate positions at Stradley Ronon and Drinker Biddle in Philadelphia.
 
Ms. Allison has over 25 years experience in investment management practice, and specializes in creating and monitoring compliance programs for investment advisers.  Her past experience also includes representation of hedge funds and private equity firms. 

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