the difference is day and night

Prior to founding Outsourced Compliance Group, Sarah was a Managing Director at Cipperman Compliance Services and Hardin Compliance Consulting before the Firm sold its business to Foreside Financial, which merged with ACA Group in 2022. While in a consulting role for over 10 years, Sarah has worked with SEC registered investment advisers and CFTC registrants ranging from private fund advisors, commodity pool operators, wealth managers, family offices, foreign advisors, and registered funds. Sarah also serves as outsourced Chief Compliance Officer for certain clients. Sarah is committed to retaining qualified compliance professionals at OCG to build long lasting client relationships.

Lisa has worked in the securities industry for over twenty-six years. Prior to joining Outsourced Compliance Group, Lisa was a Partner with Hardin Compliance Consulting where she spent 14 years before the Firm sold its business to Foreside Financial, which merged with ACA Group in 2022. She is responsible for developing, testing, and monitoring Compliance Programs for SEC registered investment advisers, with a primary focus on advisers to hedge funds and private equity funds. She has experience assisting clients with SEC Examinations, including interaction with Examiners, managing information flow, and drafting responses. Earlier in her career, she held various management roles in internal audit and investor services at Federated Investors (now Federated Hermes). Lisa also serves as outsourced Chief Compliance Officer for certain private fund clients.

Jill has over 25 years of experience in investment adviser compliance and risk management. Before joining Outsourced Compliance Group, Jill served as the Chief Compliance Officer at Greycourt & Co., Inc. Prior to Greycourt, Jill spent over 10 years as a senior member of the management team at Hardin Compliance Consulting before the Firm sold its business to Foreside Financial. While consulting she worked with a variety of SEC registered investment advisers to develop and manage comprehensive compliance programs and, in several cases, serve as outsourced Chief Compliance Officer. Earlier in her career, she held various management roles in internal audit, risk management and operations at Federated Investors (now Federated Hermes). Jill now serves as outsourced Chief Compliance Officer for certain private fund and wealth managers.

Hali has experience providing compliance support to a variety of investment advisers, including Exempt Reporting Advisers, Advisers to Registered Funds, Private Funds, and Wealth Managers. Prior to joining OCG Hali worked with the US Regulatory team as a Compliance Associate at Foreside Financial, as well as Stone Coast Fund Services, where she managed investor services relationships with multiple onshore and offshore hedge funds and private equity funds.

Heather has worked in the securities industry for over twenty-five years. Prior to joining Outsourced Compliance Group, Heather was a Senior Consultant, Director with Hardin Compliance Consulting where she spent 14 years before the Firm sold its business to Foreside Financial, which merged with ACA Group in 2022. She is responsible for developing, testing, and monitoring Compliance Programs for SEC registered investment advisers, with a primary focus on registered investment companies and business development companies. She has experience assisting clients with SEC Examinations, including interaction with Examiners, managing information flow, and drafting responses. Earlier in her career, she held various compliance related positions in the mutual fund services department at Federated Investors (now Federated Hermes). Heather also currently serves as outsourced Chief Compliance Officer for a business development company.

Marissa has nearly a decade of experience in the financial services industry. Her expertise spans various facets of investment management including compliance, operations, and marketing. Prior to joining OCG Marissa worked as a compliance consultant at Cipperman Compliance Services, where she serviced a diverse range of clients, including registered funds and hedge funds.

Alison has worked in the securities industry since 2017. Prior to joining Outsourced Compliance Group, Alison was a consultant with Hardin Compliance Consulting, before the Firm sold its business to Foreside Financial, which merged with ACA Group in 2022. She is responsible for developing, testing, and monitoring Compliance Programs for SEC registered investment advisers and exempt reporting advisors. Alison also manages client regulatory filings, including Form D, Blue Sky, 13F, N-PX, 13H, 13D/G, Form PF, and Form ADV.

LuAnne is a seasoned compliance consultant with over 25 years of experience in the financial services industry. LuAnne brings expertise in collaborating with management and staff to optimize policies, procedures and standards, ensuring adherence to regulatory requirements and best practices. Throughout her career, LuAnne has served as Chief Compliance Officer for investment advisers and registered investment companies. In addition she has provided compliance consulting to private fund, ETF and mutual fund advisers as well as wealth managers. She has direct experience with FINRA and SEC examinations, policy development, testing, drafting annual review reports and marketing review.

Elizabeth works alongside OCG's executive team and manages payroll, bookkeeping, invoicing, and administration. With several years of administrative support experience, she enjoys giving each task the highest attention to detail, and approaches tasks with creativity and ingenuity. Prior to OCG, Elizabeth worked as an administrative assistant at a wealth management firm and as an auditor for a international relocation company.

Rochelle brings more than 30 years of Broker-Dealer experience to Outsourced Compliance Group. Prior to joining OCG, Rochelle was a Managing Director at Hardin Compliance Consulting before the Firm sold its business to Foreside Financial, which merged with ACA Group in 2022. During her 17 years with Hardin and successors, Rochelle engaged with a multitude of broker-dealers having business lines that included retail operations, wholesaling, private placement activities, mergers & acquisitions, capital acquisition broker activities, and Municipal Advisory services. As a consultant, Rochelle assisted firms with SEC registrations, preparation of FINRA Membership Applications and the development, implementation, and maintenance of comprehensive compliance programs, tailored to meet the unique needs of each firm. Rochelle also served as an outsourced Chief Compliance Officer. In her earlier years, Rochelle was a Compliance Manager for The PNC Financial Services Group, Inc., focused on their retail and capital markets broker-dealers. Rochelle holds the Series 7 and 24 securities licenses.

Theresa has worked in the financial services industry for over twenty-five years. Prior to joining Outsourced Compliance Group, Theresa was a consultant with Hardin Compliance Consulting, before the Firm sold its business to Foreside Financial, which merged with ACA Group in 2022. Prior to becoming a consultant, Theresa served as the in-house Chief Compliance Officer for a large Registered Investment Advisory firm. Theresa has also held several security licenses, including Series 7, 65, 63 and 79, in her prior roles within the industry. Her primary focus is assisting retail advisors with their compliance needs. She is responsible for developing, testing, and monitoring comprehensive compliance programs for SEC and state registered firms, including transitioning from state to SEC registration and assistance with SEC examinations. Theresa currently holds her Investment Adviser Certified Compliance Professional (IACCP®) designation.