Author Jessica Roeper
Joot, Chief Compliance Officer
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Jessica has over 10 years of audit, risk, and compliance experience in the financial services industry. She has served as Senior Compliance Officer for a registered investment adviser and an investment company, where she led mock-SEC compliance audits as well as third-party due diligence audits.
The Importance of Testing Compliance Procedures
Testing your compliance procedures is an integral piece of overall SEC compliance for registered investment advisors. Read on as we discuss the importance of testing your compliance procedures.