COMPLIANCE AND LEGAL

Jessica Catauldella
Jessica Cataudella, Managing Director

Jessica Cataudella is Managing Director of Compliance at Charles Schwab Investment Advisory, Inc. (“CSIA”). She served as Director of Compliance at ThomasPartners, Inc. (“ThomasPartners”), prior to the merger of those firms in April of 2018. She joined ThomasPartners in 2015 with over 14 years of investment advisory compliance experience. In her role she manages the day to day activities of the Compliance Program, including updating the Form ADV as required, performing Compliance Risk Assessment and Compliance Testing and Monitoring activities under the ThomasPartners Compliance Program, updating the Compliance Manual, facilitating the Compliance and Operating Risk Committee meetings, reviewing ThomasPartners marketing material, and leading Compliance related projects.

Prior to ThomasPartners, Jessica worked at a Private Equity firm in Portland, Oregon where she served as Director of Risk and Compliance. Prior to that, Jessica worked in the San Francisco Bay Area and served as Chief Compliance Officer at Genworth Financial Wealth Management (now AssetMark, Inc.) for five years managing a team of Compliance professionals as well as overseeing the implementation of the Compliance Program. Jessica began her career at the SEC in San Francisco with a combined five years as a Staff Accountant and Compliance Examiner.

Jessica earned a B.S. in Geology and a MBA from Washington State University.

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