RIA Compliance Consultants is really a group of industry experienced professionals devoted to dealing with investment experts who're also dedicated to applying good compliance and risk management methods. By cooperating, RIA Compliance Consultants helps investment experts navigate the maze of investment consultant compliance rules and get the best methods to satisfy their obligations.
RIA Compliance Consultants helps investment experts identify regulating and risk management challenges, after which build and implement practical solutions that safeguard their customers and meet their regulating duties.
Bryan Hill, Leader
Bryan Hill may be the founding father of RIA Compliance Consultants, Corporation. As Leader of RIA Compliance Consultants, Bryan leads a group of compliance consultants which helps registered investment experts with meeting their regulating obligations.
Just before getting into private practice, Bryan offered as leader of the independent broker-dealer and labored extensively on investment advisory issues. He particularly brought the introduction of a good investment consultant compliance practice group that offered numerous individually registered investment experts. His more tactical encounters include leading a group of compliance professionals that supervised those activities of just one, 400 registered reps and investment consultant reps across the nation. Serving as with-house a lawyer to some financial services company, Bryan prepared protection to investments arbitrations, construed broker-dealer and investment consultant rules, and handled regulating research. These various roles inside the investments industry make Bryan especially skilled at comprehending the challenges facing registered investment experts and supplying compliance suggest that views different perspectives.
Bryan graduated with distinction in the College of Nebraska College of Law. He's effectively completed the Investments Industry Institute at Wharton School of economic, College of Pennsylvania and passed regulating exams such as the Series 7, Series 24, Series 65, and Series 66. Bryan has gained the Accredited Investment Fiduciary® (AIF®) professional designation from Fiduciary360. He's a FINRA arbitrator and it has been trained like a mediator. Before attending school, Bryan was a helper to some U.S. Congressman. When studying political science being an undergraduate in the College of Nebraska – Lincoln subsequently, Bryan labored like a research assistant for that Nebraska Legislative Research Division.
Jarrod James, V . P . &lifier Senior Compliance Consultant
Jarrod James works as a V . P . and Senior Compliance Consultant for RIA Compliance Consultants, Corporation.