Gisela is a director at Duff & Phelps in the Compliance Consulting practice. She specializes in advising broker-dealers on various matters related to broker-dealer compliance, regulatory reporting, examinations, testing and surveillance. Gisela has significant experience handling broker dealer registrations and regulatory examinations.

Previously, Gisela served as Vice President of Compliance for Cantor Fitzgerald & Co. and its affiliated Alternative Trading System, Aqua Securities LP. While at Cantor Fitzgerald, she was responsible for drafting and implementing policies and procedures related to institutional equity, fixed income sales and trading, and investment banking. In addition to supporting the Firm’s trading desk(s) Gisela also supported the Firm’s Regulatory Inquiries and Response Group and interacted on a regular basis with various state and federal regulators.

Prior to joining Cantor Fitzgerald & Co., Gisela served three years as a Compliance Officer for Two Sigma Securities, LLC. While at Two Sigma, Gisela was responsible for all new hire onboarding, Form BD filings, annual compliance training, drafting and implementing policies and procedures, review of personal trading and electronic communications, testing and surveillance of the Firm’s proprietary trading systems, responding to FINRA and SEC examinations and regulatory inquiries and assisting the Firm with Continuing Membership Applications.

Gisela also spent a combined seven years in FINRA’s Market Regulation and Member Regulation Departments. While in Market Regulation, Gisela conducted in-depth and timely reviews and investigations of regulatory issues related to member firms’ compliance with FINRA and SEC rules and regulations. Gisela’s expertise in broker dealer registrations comes from her experience in working in FINRA’s Membership Application Program. While in MAP, Gisela conducted reviews of applications and supporting documentation of applicant and firms seeking new or continuing membership with FINRA and certain other self-regulatory organizations.

Gisela earned her B.A. in Criminal Justice and English from Seton Hall University and her Juris Doctorate from Seton Hall University School of Law.

 
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