Janice brings 40 years of experience working for financial services companies to the practice. She began her career as a registered representative with a Seattle-based broker-dealer. During the course of her tenure she wore many hats: sales, operations, and office management, general principal and branch manager, ultimately joining the executive suite as Director of Compliance. In addition, she was responsible for developing the investment advisory affiliate of the firm as well as serving as its Chief Compliance Officer.
Prior to co-founding Precedent, she served as Managing Director, Chief Compliance Officer, and Human Resources Director for Freestone Capital Management ($2 billion in AUM at the time), which included Freestone Securities, a registered broker-dealer, and Freestone Investments, a registered investment advisor to Freestone’s hedge fund and fund of funds complex.
Janice is an expert in convoluted regulatory issues and, unusual for this industry, also brings significant people skills, including facility with managing major conflict, navigating competing priorities, and successfully completing large-scale projects with limited resources. Her sense of humor is central in helping her find creative solutions to complex problems. Janice brings a unique and comprehensive background in broker-dealer and investment adviser management to her consulting practice. One of her passions is mentoring young professionals into becoming emotionally intelligent leaders. Noting the lack of professional organizations for women in financial services prompted her to found the Seattle Chapter of Financial Women International, which she chaired from 2006-2009.
Janice has been active in the compliance arena through an organization she founded in 2005, and chaired until 2022, the Northwest Compliance Professional Roundtable. Between 2013 and 2020 Janice also served on the Board of Directors of the Seattle Alternative Investment Association, a Seattle-based membership organization that facilitates networking and educational forums targeted to individuals and firms managing pooled vehicles and other alternative investments.
Janice has a degree in Business Economics from Colorado State University. She has held the Series 7, 24, 53, 55, 4, 63, and 65 registrations.