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Overview

Jamie helps clients understand and manage risks associated with their investments and ensure compliance with federal and state securities laws.

Having an extensive background in data analytics and data privacy, Jamie also has experience designing, coordinating, and conducting enhanced compliance testing programs.

Previously, Jamie worked as a Compliance Officer at a compliance solutions firm serving Investment Advisers across the United States with assets under management ranging from $200 million to $3 billion.

Prior to joining Calfee, Jamie served as an Operational and Strategic Analyst supporting a range of professional sporting and entertainment venues in the enhancement of their food and beverage programs.

Jamie earned her M.B.A. from Xavier University, with a concentration in Values Based Leadership and is a Cintas Graduate Ethics Fellow. She also earned her B.S.B.A. in Business Analytics from Xavier University, with minors in Peace and Justice Studies, as well as Gender and Diversity Studies.

Jamie joined Calfee in 2022 and was promoted to Compliance Director in 2023.

Education

M.B.A., Xavier University, 2019

B.S.B.A, Business Analytics, Xavier University, 2018

Jamie Cahal – an employee of Calfee Strategic Solutions, LLC – is not licensed to practice law.

Experience

Experience

  • Calfee was selected to provide legal counsel on securities regulations affecting all aspects of our SEC-registered investment advisor client’s investment advisory business and operations, which has $4+ billion in AUM. Calfee provides back-office support and expert counsel for the Managing Principal and CCO and assists with directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
  • Calfee was selected to provide legal counsel on securities regulations affecting an SEC-registered investment adviser with $2+ billion in AUM providing advisory services to high-net-worth individuals and institutional investors, and Calfee serves as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
  • Calfee was selected to provide legal counsel on securities regulations affecting all aspects of our client, an SEC dually registered investment adviser and broker-dealer operations with $2+ billion in AUM. Calfee provides support and expert counsel for the CCO and assists in directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”) and FINRA compliance program requirements under FINRA Rule 3120 and the Annual Certification under Rule 3130.
  • Calfee was selected to provide legal counsel on securities regulations affecting an SEC-registered investment adviser with approximately $1.5 billion in AUM providing advisory services to high-net-worth individuals and small institutions, and to serve as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”). Calfee successfully assisted the client through an examination by the SEC’s Division of Examinations with the firm’s final response being submitted in 2021.
  • Calfee provides legal counsel on securities regulations affecting all aspects of our client, a family of SEC-registered investment advisers with $650+ million in AUM. Calfee provides comprehensive back-office support and expert counsel for the CCO and assists in directing and implementing the firms’ compliance programs for all supervised persons, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
  • Calfee provides legal counsel on securities regulations affecting an SEC-registered investment adviser with $570+ million in AUM providing advisory services to high-net-worth individuals and small institutions, and to serve as the firm’s Chief Compliance Officer (CCO). Calfee also successfully counselled the client through an inquiry from the Department of Justice.
  • Calfee provides legal counsel on securities regulations affecting our client, an investment adviser with $250+ million in AUM registered with the SEC focused on managing private funds and to serve as the Chief Compliance Officer. The Chief Compliance Officer is responsible for directing/implementing the firm’s compliance program for all supervised persons of the adviser and ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
  • Calfee provides legal counsel on securities regulations affecting an advisory firm with $1+ billion in AUM specializing in comprehensive management of family wealth for ultra-high net worth clients. Calfee provides expert counsel for the CEO and CCO and leads the firm’s fund formation efforts and assists with directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”). As part of these services, Calfee drafts the governing agreements and disclosure documents for the closed-end and open-end private funds, which the client raises on a regular basis. In addition, Calfee has been engaged to assist the CCO with all of the following legal and compliance tasks: internal audits and compliance testing; annual review/risk assessment; third-party due diligence; SEC examinations and communications with regulators; compliance certifications; Code of Ethics issues; directing/executing the firm’s compliance manual; all marketing/advertising review; employee training/education; firm contracts/client agreements review; completing/submitting all regulatory filings, including SEC, FINRA, CFTC, etc. In completing these services over the past year, Calfee successfully guided the client through an allegation investigated by the state with no formal charges being brought.

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