Janice Powell, MBA, IACCP®
Janice Powell, MBA, IACCP®
Sr. Compliance Consultant
- 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
M.B.A, University of Phoenix
B.A., University of Phoenix
FINRA Series 7, 63, and 65
Professional Affiliations & Certifications
IACCP®, National Regulatory Service/Investment Adviser Association
IACCP® Exam Writing Task Force Member/Beta test SME
Member, National Society of Compliance Professionals
A charismatic communicator and partner to clients, Ms. Powell serves as a Sr. Compliance Consultant at Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”). As a leader and educator in the compliance field, her experience has made her a highly sought after CCO and subject matter expert. Moreover, she is dedicated to collaborating with our clients in an effort to enhance their risk-based compliance programs and understanding their fiduciary responsibilities to their clients. Ms. Powell’s dynamic approach and experience working with C-Suite executives to mitigate conflicts of interest and regulatory scrutiny, while developing solutions to help firms expand and grow their business in a compliant way, has made her a rising star in the compliance arena. Ms. Powell’s natural ability to inspire and cultivate long lasting relationships while building and developing a culture of compliance has enabled her to become a thought leader and “go to” person for compliance related guidance and solutions.
With over 20 years of industry experience, Ms. Powell has dedicated her compliance career to focusing on the crucial intricacies of developing, implementing and maintaining a risk-based compliance program, including risk assessments, conflicts of interest inventories, and development of policies and procedures, supervisory structures and controls. Her experience in a multitude of business models from hybrid advisers, multi-family offices, dual registrants, bank-owned advisers and broker-dealers, advisers to mutual funds, trust companies and independent advisers provides for a broad knowledge of The Investment Advisers Act, Investment Company Act, Exchange Acts of 1933 and 1934, ERISA, Non-Deposit Investment Products, private funds, alternative investments, anti-money laundering and privacy.
Prior to joining Core Compliance, Ms. Powell was the Deputy Director, RIA Supervision for Securities America, Inc., where she led efforts to changing their internal approach to supervision of both corporate and independent (hybrid) registered investment advisers and overall culture of advisory compliance. There she also provided invaluable oversight and supervision to ensure compliance with state and federal securities laws as well as firm policies and procedures, including those in a hybrid model and within financial institutions. Ms. Powell’s experience as a Chief Compliance Officer at numerous firms, including PagnatoKarp Partners, The Index Group, Convergent Wealth Advisors, BOK Financial, Zions Bancorporation, as well as operational experience at Fidelity Investments and Lincoln Financial Advisors has provided a robust knowledge base in a variety of complex areas. Her experience in leading their internal compliance initiatives and teams has played a formative role into her service impact at Core Compliance.