Meet Our Chief Compliance Officer, Jennifer Baum

September 12, 2023


  • More than 30 years of industry experience in compliance and client services
  • Joined OCC in 2017 as First Vice President, Regulatory and Corporate Compliance
  • Previously served as Chief Compliance Officer at Dorman Trading, EVP of Client Solutions at MF Global, and Managing Director of the Investigations Department of the Chicago Board of Trade (CBOT)/Market Regulation Department of CME Group


  • Bachelor’s degree in economics from the University of Illinois Urbana-Champaign

Quick Facts:

  • Began her financial services career at the CBOT, where she worked for more than 13 years
  • Has played, taught and coached racket sports her whole life


“I am amazed at the high caliber of talent among my colleagues and take great inspiration from them. Since becoming Chief Compliance Officer, I have enjoyed building relationships with diverse individuals across OCC and the Compliance team. Their unique ideas and experience enable us to continuously improve OCC’s compliance posture.”

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