Jaqueline Hummel
IACCP®,J.D., Independent Compliance Consultant
- Role
- Independent Consultant at Independent Compliance Consultant
- Location
- Cleveland, OH, US
- LinkedIn followers
- 500 followers
About Jaqueline Hummel
An accomplished compliance professional with a proven track record of instituting and maintaining effective securities compliance programs for registered investment advisers. Currently Director of Thought Leadership, Regulatory Compliance at ACA Global. Responsible for developing, executing and championing thought leadership efforts in the Regulatory Compliance Practice. Ms. Hummel develops content on developments and trends in financial services regulation, including the regulation of hedge funds, private equity funds, mutual funds, wealth managers, and broker-dealers. Formerly Chief Compliance Officer for institutional asset manager with $35 billion assets under management, overseeing compliance program. Previously acted as in-house counsel for an investment manager for 11 years, specializing in SEC regulation under the Investment Advisers Act and Investment Company Act of 1940. Also represented regional broker-dealer and \"fund of funds\" investment adviser. Specialties: SEC regulation, including expertise in the Investment Advisers Act of 1940 and Investment Company Act of 1940; Experience working with private equity firms and hedge funds; Advertising and Marketing review expertise.
Experience
Independent Consultant
Independent Compliance Consultant
Jan 2024 — Present · Cleveland, OH, US
I am an independent compliance consultant with more than 30 years experience in the financial services industry. My passion is helping compliance professionals for SEC-registered investment advisers understand and manage their regulatory compliance risks.
Education
University of Wisconsin-Madison
B.A., journalism
1982 — 1986
Fi360 AIFA Program
Accredited Investment Fiduciary Analyst, Fiduciary Assessments and Certifications, AIFA
2012 — 2012
Emory University School of law
J.D., law
1986 — 1989
University of Wisconsin-Madison
Bachelor of Arts - BA, Journalism
1982 — 1986
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