Michelle L. Jacko, CSCP

Michelle Jacko

Michelle L. Jacko, CSCP

Chief Executive Officer

  • Investment Adviser, Broker-Dealer, Investment Company, Hedge and Private Fund Consultation
  • Registration and Client Disclosure Documents including Forms ADV, Form BD, Form PF, and Contracts
  • SEC, FINRA and State Regulatory Examination and Enforcement matters
  • Annual Reviews, Risk Assessments, and Mock SEC Exams
  • Performance Advertising and Social Media Regulatory Compliance
  • Policies and Procedures, Surveillance and Internal Control Development
  • Cybersecurity Reviews, Regulation S-P, Business Continuity and Succession Planning

Education

J.D., St. Mary’s University School of Law, 1996

B.A. International Relations, University of San Diego, 1993
Degree awarded Cum Laude

Series 7, 24 & 66 (inactive)

Bar & Court Admissions

The State Bar of California

United States District Court, Southern District of California

Professional Affiliations & Certifications

Member and Former Two-Term Board Member, National Society of Compliance Professionals

Co-Founder and Member, Southern California Compliance Group

Editorial Advisory Board, Wolters Kluwer: Practical Compliance and Risk Management for the Securities Industry

Member, State Bar of California, Corporations Committee Business Law Section (Former Vice Chair of Education 2016-2018)

Member, San Diego County Bar Association, Business & Corporate Law Section (Former Advisory Board Co-Chair and Member 2013-2014)

Member, American Bar Association

FINRA Arbitrator

Awards

Finalist, 2021 Women of Influence in Law Award, San Diego Business Journal

Finalist, SD500, San Diego Business Journal (2020, 2019)

Finalist, CEO of the Year, San Diego Business Journal (2021, 2020, 2019)

Finalist, Most Admired CEO, San Diego Business Journal (2020, 2018, 2017)

Finalist, Business Woman of the Year, San Diego Business Journal (2020, 2019, 2018)

Finalist, Business Women of the Year, CEO Today Magazine (2020, 2019)

Finalist, Women of the Year, San Diego Magazine (2020, 2019, 2018, 2017)

Finalist, Women of Influence, San Diego Metro Magazine (2019)

Finalist, 2019 NAWBO Bravo Awards – San Diego

 

Michelle L. Jacko, CSCP, is CEO of Core Compliance & Legal Services, Inc. ("Core Compliance"), a compliance consultation firm which services registered investment advisers, broker-dealers hedge/private funds, investment companies, and financial professionals. In addition, Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a law firm which offers securities, corporate, and employment law counsel services to the financial industry and beyond.

Ms. Jacko specializes in investment adviser, broker-dealer, and fund regulatory compliance matters, internal control development, regulatory examinations, and operational risk management. Her consultation practice focuses on the areas of mock examinations, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, cybersecurity, Regulation S-P, and much more.

As a frequent presenter at national financial industry conferences, Ms. Jacko delivers insightful and thought-provoking workshops regarding industry hot topics and rising compliance issues. She is a frequent contributor to various industry journals.

Ms. Jacko served as the former Vice-Chair of Education of the Corporations Committee for the State Bar of California Business Law Section and is a two-time former Board member of the National Society of Compliance Professionals (NSCP). She is the Co-Founder and a member of the Southern California Compliance Group and also is a FINRA Arbitrator. Ms. Jacko is a member of Vistage International and actively participates in her community.

Core Compliance is proud to be certified as a woman-owned business through the NWBOC and was a finalist for the 2019 NAWBO Bravo Awards - San Diego. In 2021, Ms. Jacko was a finalist for San Diego Business Journal’s (SDBJ) 2021 CEO of the Year Award, SDBJ’s 2021 Business Woman of the Year Award, SDBJ’s 2021 Leaders in Law Award and selected for SDBJ’s Women of Influence in Law Award. In 2020, she was selected for SDBJ’s 2020 San Diego 500 Influential Business Leaders Award, and SDBJ’s prestigious 2020 Most Admired CEO Awards. She also was selected as a finalist for San Diego Magazine’s Influential Women: Woman of the Year Award 2020–2021, and by international magazine CEO Today as one of the 2019–2021 Business Women of the Year. She has received Acquisition International magazine’s Global Excellence Awards: Most Influential Woman in Securities Law 2019–2021 - San Diego and locally, was selected by San Diego Metro as one of the 12 Women of Influence in San Diego, CA.

Previously, Ms. Jacko served as Of Counsel at Shustak & Partners, PC. Prior to that, she was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services Corporation (Linsco/Private Ledger). She has also served as Legal Counsel of Investments and Chief Compliance Officer at First American Trust, FSB, and held the position of Compliance Manager at Nicholas-Applegate Capital Management. In addition, Ms. Jacko was with PIM Financial Services, Inc., and Speiser, Krause, Madole & Mendelsohn, Jackson.

Ms. Jacko received her J.D. from St. Mary’s University School of Law and her B.A. in International Relations from the University of San Diego. She is admitted to the State Bar of California and the United States District Court, Southern District of California. Michelle holds NSCP’s Certified Securities Compliance Professional (CSCP) designation and is a member of the National Association of Women Lawyers.

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