Services

When you don’t have the time, expertise, or resources to properly manage compliance, let us do it for you

Whether it’s overseeing your technology vendors, managing a compliance project, providing ongoing compliance support, or serving as your Chief Compliance Officer, Joot offers a full range of services to complement our technology. Whatever your compliance needs, Joot can help.

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Know what you’re getting with clear-cut services packages

Compliance is complex and ever-changing, but we do our best to keep it simple.

Standard Services

Get the basic support you need for a foundational compliance program.

Full Services

Cover additional critical activities and requirements, so you have a comprehensive program in place.

CCO Services

If you’re in need of a named Chief Compliance Officer, our CCO Services, including our Registered Fund Services, provide a fully outsourced solution.

Mock SEC Exam

If you need help getting your RIA compliance program exam ready, our Mock SEC Exam Services are tailored to your needs.

RIA Registration

If you’re just starting an RIA, see how our RIA Registration Services can help you get compliance done right.

RIA Marketing

Discover how our RIA Marketing Services will get your business off the ground—while ensuring compliance.

Ongoing Items

Standard
Full
Prepare and file SEC-related filings, e.g., Form ADV, Section 13, Form PF
Prepare and file U-4 & U-5 filings for Investment Adviser Representatives
Keep track of regulatory changes and update procedures manual
Manage books and records, compliance calendar
Collect new employee attestations
Maintain compliance logs
Review client complaints documentation
Conduct vendor oversight and ongoing due diligence
Review email
Review trade errors
Review advertising, website, and social media

Quarterly Items

Standard
Full
Collect and review personal securities trading certifications, documentation
Collect other certifications
Conduct Best Execution review
Conduct post-trade reviews

Annual Items

Standard
Full
Prepare and file annual amendment to Form ADV and Form PF
Review and update annual compliance calendar
Collect annual holdings reports from access persons
Collect annual employee certifications and/or questionnaires
Review Business Continuity Plan (BCP)
Test and audit policies and procedures
Conduct annual employee compliance training
Conduct broker evaluation review
Prepare Summary of Annual 206(4)-7 and Code of Ethics Review

Expertise to put your compliance program on the right track

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