Janice Powell, MBA, IACCP®

Sr. Compliance Consultant

Janice Powell

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  • SEC, FINRA, BSA/AML, ERISA, Fiduciary and Trust (12 CFR-9)
  • Advertising, Marketing, and Communications Review
  • Code of Ethics and Compliance Program Development Enhancements and Training
  • Policy and Procedure, Surveillance and Internal Control Development
  • SEC, State, and Regulatory Agency Filings and Examinations
  • Risk Assessments, Annual Reviews and Branch Office Examinations 
  • Custody Implications