ABOUT US
Who We Are
Investment Adviser Compliance Consultants (IACC) was established in May 2019 and provides outsourced CCO services, as well as a full suite of tailored compliance products, to US SEC registered investment advisers (RIAs). Giselle Casella, IACC’s Founder and CEO has over 20 years of RIA compliance experience and serves a diverse range of investment management firms including private fund advisers and money managers. IACC understands that SEC regulations and requirements can be daunting. We shoulder the burden of compliance and protect our clients against regulatory risk and costly deficiencies so they can focus on their business.
Our Approach
As a small, independent boutique firm, IACC takes pride in providing personalized compliance services tailored to meet the needs of each client at a reasonable price. Unlike larger competitors, IACC focuses solely on RIA compliance and provides attentive and prompt service directly to a small family of clients. This allows for comprehensive client coverage without the distractions of other businesses and conflicting sales goals. We value honesty, ethics, and transparency in business to foster long term client relationships. Our services are designed to meet the needs of our clients, and we never engage in high pressure, bothersome sales tactics that are typical in the traditional consulting model.
Giselle Casella
Founder and CEO
941-786-4482
Giselle Casella has over 20 years of US SEC regulatory compliance experience with registered investment advisers. As the Founder and CEO of Investment Adviser Compliance Consultants, Giselle provides outsourced CCO services to RIAs, as well as a full suite of compliance services. This includes annual compliance reviews, SEC mock audits, compliance testing, regulatory filings and disclosures, code of ethics administration, trade surveillance, policy drafting and updates, email and social media surveillance, compliance training, marketing material review, and SEC examination support. Giselle works directly with compliance personnel, employees, and third-party vendors to develop and oversee compliance programs tailored specifically to each RIA’s unique business. Giselle also currently serves as Adjunct Professor at Utica College where she teaches online graduate courses on compliance. Giselle regularly speaks on webcasts and conference panels, and writes articles and industry alerts.
Giselle began her career as an SEC investment adviser examiner. After the SEC, Giselle spent nearly ten years working in-house compliance for various large diversified financial institutions including AIG, Prudential, UBS, Allianz, and Deutsche Bank. Giselle’s responsibilities included: the annual CCO review, oversight of global policies and procedures, preparing regulatory filings and disclosures, trade surveillance, subadvisor due diligence, anti-bribery oversight for gifts and entertainment and political and charitable contributions, employee training, participation on various committees, and conflicts of interest oversight. Giselle’s most recent experience was as a Senior Principal Consultant for nine years with ACA Compliance Group where she provided customized compliance solutions to RIAs.
Giselle has a BBA in Finance from Pace University, an MBA from Regis University, and an MS in Cybersecurity from Utica College. Before joining ACA, Giselle had the Series 7, 24, and 65 licenses.