Janet Kotz
Janet Kotz is a seasoned regulatory compliance professional and paralegal with over 20 years of experience in the financial industry and more than a decade specializing in compliance, broker-dealer ethics, and legal support. Known for her precision, organization, and commitment to integrity, Janet has managed complex compliance programs, including anti-money laundering (AML) initiatives, EDGAR filings, and e-discovery, while collaborating closely with technology and legal teams to implement effective compliance systems. Her work reflects a deep passion for maintaining transparency and fostering high-integrity workplace environments.
Janet began her career in private client banking, focusing on lending and collections, before transitioning into legal and compliance roles. She earned her Associate’s Degree in Paralegal Studies from the Community College of Philadelphia in 2010, graduating summa cum laude from an ABA-approved program. Shortly thereafter, she joined the U.S. Securities and Exchange Commission as an investigative paralegal in civil law enforcement, where she managed high-profile cases, conducted document review, and supported litigation teams. Her early dedication and strong organizational skills laid the foundation for her later leadership in compliance.
In her most recent role at Susquehanna International Group, Janet served as the point person for ethics compliance across broker-dealers for 12 years. She oversaw supervision programs for registered persons’ communications, led a small compliance team, and managed the firm’s AML program, ensuring that all regulatory requirements were met with integrity. Recognized for her professionalism and contributions, Janet has received multiple Special Act Awards and is committed to mentoring and building respectful, resilient teams. Her career demonstrates a steadfast dedication to ethical practice, precision, and continuous professional growth.
• Jasper AI
• AI for Business Operations
• Claude AI
• Notary Public Commission
• Aesthetician
• Community College of Philadelphia- A.A.S.
• Northampton Community College- A.A.S.
• Exceptional Customer Service Award (Private Client Banking)
• Special Act Award 2011
• Special Act Award 2012
• Special Act Award 2013
• Summa Cum Laude
• Highest Honors
• National Federation of Paralegals
• Northeast Animal Rescue
• Humane Society
What do you attribute your success to?
I attribute my success to determination and hard work, you know, having a strong work ethic. A big thing for me has always been that I will take on almost any kind of project, whether it's something I'm very familiar with or not, whether it's something that's going to be a new experience or not. I'm willing to give anything a shot, and that has been a huge part of what has made me successful. I also think being able to solve problems is key, being able to break things down into small pieces and tackle them a little bit at a time, and realizing that you will eventually get to the end of all of it. It will eventually get done. You just have to take it in bite-sized pieces. I think that kind of goes in both work and personal areas as well. And resilience is so important. In any situation, work or otherwise, there's always going to be bumps in that road. I'm in one right now. My department was restructured, and I don't have a job right now, but I think this is a temporary thing, and you get through it, and you come back better.
What’s the best career advice you’ve ever received?
The best career advice I've ever received is probably to believe in your skills and believe in your abilities. Don't doubt yourself as much as you might feel like you need to. Give yourself some credit. That advice has really stuck with me throughout my career.
What advice would you give to young women entering your industry?
It can be tough sometimes, it can certainly be tough sometimes, but I think that having other women as mentors is something that makes it a lot easier. Having women mentors helps you see where your place is and to know that you're valued and important. That kind of support and guidance from other women who have been there makes all the difference.
What are the biggest challenges or opportunities in your field right now?
I do think connected to AI, there is a challenge in that I know a lot of places are pushing to use it, but people are not being given the resources to learn about it. I think that's one challenge, that there needs to be some more accessible resources and training for people so they know how to use those tools to their advantage for what they do specifically. AI is becoming helpful in many ways, and I think things like training in the different types of AI platforms are going to be vital for any kind of office situation going forward. That's actually why I'm currently working on some courses in the different types of AI platforms right now, because I believe this knowledge is going to be essential.
What values are most important to you in your work and personal life?
Emotional intelligence is very important to me in both my work and personal life. Being able to solve problems, being able to break things down into small pieces and tackle them a little bit at a time, and realizing that you will eventually get to the end of all of it is crucial. It will eventually get done. You just have to take it in bite-sized pieces. I think that approach works in both work and personal areas. Resilience is also incredibly important to me. In any situation, work or otherwise, there's always going to be bumps in that road. I'm in one right now. My department was restructured, and I don't have a job right now, but I think this is a temporary thing, and you get through it, and you come back better. Determination and hard work, having a strong work ethic, are also core values for me. I will take on almost any kind of project, whether it's something I'm very familiar with or not, whether it's something that's going to be a new experience or not. I'm willing to give anything a shot, and that willingness has been a huge part of what has made me successful.
Locations
401 East City Avenue, Bala Cynwyd, PA 19004
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