Jarrod James serves as a Senior Vice President and Senior Compliance Consultant for RIA Compliance Consultants, Inc.
His duties at RIA Compliance Consultants include the registration of new investment advisor firms, developing written supervisory policies and procedures and codes of ethics, reviewing advertising and sales literature, presenting compliance training for investment advisors, annual amendments, and assisting investment advisor firms with regulatory exams including the preparation of letters of response to alleged deficiencies. Moreover, a significant portion of Jarrod’s consulting practice involves working closely with a limited number of annual retainer clients of RIA Compliance Consultants by creating and implementing ongoing compliance programs for such clients. Finally, his focus on strategic planning, recruiting investment advisory firms as clients, and providing professional compliance consulting services to those clients have been instrumental in the development and growth of RIA Compliance Consultants.
Jarrod is an experienced investment advisor compliance professional. His background includes working as a Compliance Examiner for one of the largest independent broker-dealers in the country. In this role, his focus was on the regulatory responsibilities of the firm’s corporate investment advisory unit, which maintained nearly $10 billion in assets under administration and management. Jarrod’s responsibilities also included the preparation of Form ADVs, compliance manuals, advertising reviews, compliance training seminars, and conducting audits of independent investment advisor firms operated by registered representatives of the independent broker-dealer.
Jarrod graduated, cum laude, from Northwest Missouri State University where he earned a Bachelor of Science in Government with minors in Economics and Criminal Justice while also an Academic All-Conference student-athlete. He earned a Master of Arts in Management from the Bellevue University – College of Business. Jarrod is a designated Investment Adviser Certified Compliance Professional® (IACCP®) and has passed the Series 7, Series 24, and Series 66 examinations.