Haley Hammond

Haley Hammond serves as Senior Compliance Consultant at Core Compliance & Legal Services, Inc. ("Core Compliance"). She brings more than 20 years of experience in investment adviser compliance, operations, and regulatory oversight, with extensive expertise designing, implementing, and administering compliance programs for registered investment advisers.

Prior to joining Core Compliance, Ms. Hammond served as Chief Compliance Officer for Alta Capital Management, a $3 billion SEC-registered investment adviser. In this role, she managed all aspects of the firm's compliance program, including the development and maintenance of compliance policies and procedures, administration of the firm's Code of Ethics, regulatory filings, marketing compliance reviews, vendor due diligence, employee training, and annual compliance testing. She also prepared and filed a wide range of regulatory reports, including Form ADV Parts 1 and 2, Form CRS, Form 13F, Form 13H, and Form N-PX, while overseeing annual compliance reviews pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940.

Throughout her tenure as Chief Compliance Officer, Haley successfully guided the firm through multiple examinations conducted by the U.S. Securities and Exchange Commission (“SEC”). She worked closely with firm leadership to identify and mitigate compliance risks, strengthen internal controls, and maintain an effective compliance framework designed to meet evolving regulatory expectations.

In addition to her compliance responsibilities, Haley served for ten years as Director of Operations, overseeing operational personnel and critical business functions, including reconciliations, corporate actions, client onboarding and documentation, institutional database reporting, and due diligence questionnaires. Her operational experience provides valuable insight into the practical implementation of compliance programs and the intersection of regulatory requirements with day-to-day business operations.

Ms. Hammond also has significant experience overseeing performance composite management and annual GIPS verification processes, as well as coordinating cybersecurity and business continuity planning initiatives with operations and information technology teams. Earlier in her career, she worked as a Portfolio Analyst and Investment Consultant, providing her with a strong foundation in portfolio management, investment products, and client service.

Her unique combination of compliance, operations, and investment management experience allows her to provide practical, risk-based guidance that helps firms establish effective compliance programs while supporting their business objectives.