Janice Powell

Janice has more than 23 years of experience in the financial services industry, having worked in operations, supervision, compliance, and fiduciary services in the home offices of independent firms, bank holding companies and independent firms. She also has worked as a financial representative and has held many leadership roles throughout her career. She has dedicated her career to the continuous collaboration with firms throughout the industry in an effort to enhance their risk-based compliance programs and understanding their fiduciary responsibilities to their clients. Her 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 sought after resource in the compliance arena. Throughout her career, Ms. Powell has focused on perfecting custom methods on how to build and develop a culture of compliance. Ms. Powell has worked within multiple 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. Her areas of knowledge include investment adviser, investment company, broker-dealer and private fund compliance programs, marketing reviews, Code of Ethics and Compliance Program development and training, policy and procedure, surveillance and internal control development, risk assessment and annual reviews. Janice earned an MBA from University of Phoenix, holds FINRA Series 7, 24, 63, and 65 and IACCP® Designation. When not creating compliance programs, Janice enjoys time with her family, traveling and spending time in the outdoors with her dog, Noah.