Tracy Murray

Tracy Murray is a Senior Compliance Associate at Compliance Advisor Professionals who works closely with CAP's President, Ellen Bruno, and collaboratively with the entire CAP Team.

Prior to joining CAP, Tracy served as a Regional Supervisor within the Broker-Dealer Operations department of a nationally known bank. She has nearly 20 years of experience in the financial services industry and currently holds her Series 7, 24, 53, 66, and 4 FINRA licenses. She has a bachelor’s degree from Bemidji State University and is currently studying for the IACCP®.

Tracy leads client calls and provides invaluable expertise in marketing material reviews. She also researches and interprets policies and procedures of various regulatory bodies in order to effectively communicate critical components to the CAP team and clients.

Tracy resides in Minnesota with her husband, daughter, and two cats. She enjoys traveling and attending live music events.