Today we’d like to introduce you to Michelle Jacko.
Michelle, please share your story with us. How did you get to where you are today?
I began compliance as most of us do… I fell into it. Initially, I was hired to assist a growing broker-dealer and investment adviser with their due diligence efforts. Two days into the job, the President appointed me to be the Compliance Officer.
I had no idea what I was in store for. I had just completed the bar exam, and before I knew it, I had to sit and take the Series 7, 24 and 65 examinations and found myself overseeing over 400 independent representatives as their new compliance officer. It was both a daunting and terrific experience, which allowed me to gain invaluable experience and move on to Nicholas-Applegate Capital Management, where I managed the broker-dealer and wrap-fee compliance areas and oversaw all aspects of advertising and marketing compliance reviews. From there I moved on to First American Trust (FSB) where I served as in-house counsel and Chief Compliance Officer, and then found myself at LPL Financial a few years later overseeing their Home Office Supervision team and broker-dealer surveillance program.
Throughout my compliance journey, I spoke at numerous national conferences; co-founded the Southern California Compliance Group, served on the Board of the National Society of Compliance Professionals; and commenced authoring various articles for financial industry publications. I found that, throughout my career, I was surrounded by amazing entrepreneurs and discovered an endless desire to form my own firm.
In 2006, I started Core Compliance & Legal Services, Inc. We built a strong foundation and have continued success over the years. Our amazing team of professionals help companies to grow their internal controls and compliance programs by forming a strategic partnership from the very beginning. With Tito Pombra, President, leading our experienced team of compliance consultants, we have found numerous proactive solutions for our clients. Today, my goal is to provide strategic guidance to the company to handle the toughest regulatory challenges facing our clients today.
Overall, has it been relatively smooth? If not, what were some of the struggles along the way?
Overall, yes. But with any journey there’s always a small bump or two in the road. As a female business owner, I approached forming my own firm with strong passion and drive. It wasn’t always my intention to forge a path for females in the industry, but I’m glad I was part of a collective effort to get women recognized in the compliance. Core Compliance is certified with the NWBOC as a woman-owned business and I am very proud of that fact.
We primarily interface with C-level executives, many of whom are men. I’m happy that I, too, am a C-level executive, which hopefully can inspire other women into the industry. My path wasn’t the easiest as I did face a variety of challenges to earn respect and equal treatment; but my passion for the industry and my thought leadership that I brought to every engagement reaffirms that I am where I belong and that the journey was well worth it.
Alright – so let’s talk business. Tell us about Core Compliance & Legal Services, Inc. – what should we know?
Core Compliance was founded on the notion that we foster trust and build strategic partnerships with our clients to meet their business goals and compliance needs. Our team specializes in compliance and risk management for the financial industry. We believe that all businesses should have dedicated resources to support and ensure success. Core Compliance understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of firms. We are driven by our excitement to help financial firms and are committed to finding the most effective and innovative solutions for our clients.
Our goal is to empower firms to see compliance as an opportunity to grow their business, rather than a regulatory requirement. With knowledge and training offerings, year-round compliance maintenance and a variety of personalized services our clients and partners know that Core Compliance offers a comprehensive solution.
Any shoutouts? Who else deserves credit in this story – who has played a meaningful role?
There are a handful of mentors that have made a great impact on my compliance professional career. One person in particular is Mike Caccese, Chairman of the Management Committee, Practice Area Leader – Financial Services at K&L Gates. He provided me great guidance and was valuable mentor. Also, Marsha Harmon, my former COO, had the heart and spirit like no other. I was blessed to have her on my team and I credit much of our firm’s success to many of our collaborative efforts and business synergies. Last, but certainly not least, my husband, Dennis Jacko. He is my best friend, toughest critic, but also my greatest ally. I don’t believe I could be the mother I am, and the CEO of two successful companies without his unending support.
Contact Info:
- Address: 1350 Columbia St. #300, San Diego, CA 92101
- Website: www.corecls.com
- Phone: 619.278.0020
- Email: [email protected]
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