Janice Powell, MBA, IACCP ®

Chief Compliance Officer

Secure Investment Management

Janice Powell, MBA, IACCP®, is a Senior Compliance Consultant at Core Compliance & Legal Services, Inc. Ms. Powell 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 rising star 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 provides compliance consultation to 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 consultation practice areas 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.