Hardin News | Hardin Press Releases
Hardin Compliance Consulting Announces New Partners
January 12, 2016
Warrendale, PA — Hardin Compliance Consulting LLC is pleased to announce that Lisa Giovannelli, David Rishel and Jaqueline Hummel are now partners in the firm.
“I am very excited to partner with Lisa, Dave and Jaqi. Their expertise, enthusiasm and experience has been instrumental in helping the firm grow while continuing to maintain the high level of service our clients expect and rely on,” says Matthew Hardin, President and CEO. “This leadership team brings the skills, knowledge and energy to support our goal of building a market-leading regulatory compliance practice across the United States.”
Lisa Giovannelli, Managing Director and Chief Administrative Officer of Hardin Compliance, has been with the firm since 2008 and supports the firm’s clients with extensive experience in investment adviser regulation and compliance, as well as private fund operations. She is the Chief Compliance Officer for one of the firm’s private fund clients. Prior to joining Hardin Compliance, Lisa spent 10 years with a large investment management company, both as an Internal Audit Manager, where she oversaw financial and compliance audits for mutual funds and business unit operational engagements, and as a Manager within the company’s Investor Services Division.
Dave Rishel, Managing Director and Chief Operating Officer of Hardin Compliance, has worked in the securities industry for more than 23 years and has extensive operations and regulatory compliance experience. His experience includes the creation and management of SEC registered investment advisers and FINRA registered broker-dealers. Dave joined Hardin Compliance in 2012 and is also the Chief Compliance Officer for one of the firm’s private fund clients. Prior to joining Hardin Compliance, Dave served as Chief Compliance Officer for an SEC-registered investment adviser and a FINRA-registered broker-dealer.
Jaqi Hummel, Managing Director, joined Hardin Compliance in 2011. In addition to her law license, Jaqi holds the designation of Investment Adviser Certified Compliance Professional from National Regulatory Services, Inc. (IACCP®) and Accredited Investment Fiduciary Analyst (AIFA®) from Fiduciary360. She has more than 15 years of experience in investment adviser regulation, having served as in-house counsel and Chief Compliance Officer for a number of financial services organizations.