Jacqueline Kuiper

Jacqueline Kuiper is a Bates Consulting Expert and a skilled project manager, optimizing various regulatory projects, gap analysis, and compliance audits across several Bates engagements.  She builds strong client relationships, effectively manages deadlines and expectations, ensures scope of work is met, and provides regular updates as well as polished final reports.

Her direct experience ranges from organizing, tracking, and managing large teams of reviewers, to managing underlying data, identifying potential roadblocks, and implementing proactive solutions to keep projects on track.  While her teams have handled everything from analyzing trades, reviewing and advising on marketing and advertising content, and reviewing retail communications, Jackie has organized and documented meetings among key project stakeholders, set and managed working sessions, prepared and provided ongoing updates to the client, and prepared final written reports.  Jackie's teams have successfully designed and built programs and policies within banks, broker-dealers, wealth advisors, and registered investment advisors by identifying gaps and inefficiencies and recommending enhancements and improvements.

From a product perspective, Jackie has led teams involved with traditional brokerage products, such as fixed income, equities, variable life and variable annuities, mutual funds, and more complex products such as structured notes, private funds, and securitized products.  She has also assisted in the development of supervision procedures, books and records policy language, new product disclosures and approval processes, and periodic reviews.  

Jackie's compliance and risk background materialized over time while serving as the Chief Compliance Officer of a private equity firm with nearly $1B under management.  As general counsel, CCO, and a business executive, she was responsible for all regulatory aspects, filings, and compliance controls of an SEC-registered RIA, which she single-handedly established from the ground up.  She was accountable for the firm's compliance efforts and managed all aspects of oversight of the risk and compliance framework.