Giselle Casella
Chief Compliance Officer
Giselle Casella serves as an outsourced Chief Compliance Officer for Cumberland Advisors. She is vice president and partner at ACC. She has more than 25 years of SEC regulatory compliance experience with registered investment advisers.
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 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.
