Giselle Casella is vice president and partner at ACC. She has more than 25 years of SEC regulatory compliance experience with registered investment advisers.
Giselle provides outsourced CCO services to RIAs, as well as a full suite of compliance services, including 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. She partners with compliance personnel, employees and third-party vendors to develop and oversee compliance programs tailored to each RIA’s unique business. She also currently serves as an adjunct professor at Utica College, where she teaches online graduate courses on compliance.
Giselle began her career in 1999 as an SEC investment adviser examiner. After the SEC, she spent nearly 10 years doing in-house compliance for various large, diversified financial institutions, including AIG, Prudential, UBS, Allianz and Deutsche Bank. During this time, she was responsible for 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, as well as political and charitable contributions, employee training and conflicts-of-interest oversight. She also spent nine years as a senior principal consultant for ACA Group, where she provided custom compliance solutions to RIAs.
Giselle has a Bachelor of Business Administration in Finance from Pace University, a Master of Business Administration in Business from Regis University and a Master of Science in Cybersecurity from Utica College. She is a current member of NSCP and former Series 7, 24, and 65 license holder.
