Amy Jones

About Amy Jones

Amy Jones is focused on assisting investment advisers to understand the regulatory obligations, industry accepted standards, and best practices pertaining to investment performance advertising. She has extensive experience working with advisers providing guidance to compliance officers, marketing personnel, and investment performance professionals on the continuously changing SEC regulations and Global Investment Performance Standards (GIPS®). She founded Guardian Performance Solutions LLC (GPS) to:*Work as a direct extension of an advisers in-house team to oversee the GIPS compliance process, GPS serves as GIPS compliance manager *Provide consultation and training to advisers who want to achieve compliance with the GIPS standards *Create and maintain GIPS compliance manuals and compliant disclosure presentations Amy has worked with advisers of varying sizes and complexities, from the single owner advisory firm to firms with over $400 billion under management. She understands the compliance burden that investment advisers are under as she has worked extensively to create policies & procedure manuals compliant with SEC Rule 206(4)‐7, drafted Form ADV disclosures, and has conducted compliance reviews and mock SEC audits. In addition, she has conducted and overseen hundreds of GIPS verification projects while a manager at an accounting firm that specialized in GIPS verification services. Amy is also a frequent conference speaker and regularly leads discussions on compliance related topics at industry leading organizations, such as the National Society of Compliance Professionals (NSCP). Amy graduated from Southern Oregon University with a BS in Business Administration and an emphasis in Accounting. She holds a Certificate in Investment Performance Measurement (CIPM), is a member of the CIPM Association, CFA Institute, the National Society of Compliance Professionals (NSCP) and the Southern California Compliance Group (SCCG).

Experience

1. Founder, Principal

   Guardian Performance Solutions Llc

   Jun 2013 — Present · Seattle, WA, US

   Supported 100+ firms to successfully achieve GIPS compliance for the first time. Guardian Performance Solutions assists investment advisory firms to implement and maintain compliance with the Global Investment Performance Standards (GIPS®) and comply with the SEC Marketing Rule. Guardian Performance Solutions does NOT provide verification services, so we are free from independence concerns and can assist advisers to maintain compliance with the Global Investment Performance Standards (GIPS®)We create and implement performance advertising compliance programs for investment advisory firms. This includes reviewing advertising materials to confirm compliance with regulatory obligations, adherence to industry accepted standards and best practices. In addition, we draft edits to disclosures. We are able to partner with clients and actively work as a direct extension of the in-house team to:o Construct, validate and report investment performance o Implement the GIPS standards and SEC Marketing Ruleo Perform GAP analysiso Develop policies and procedures o Determine criteria for composite constructiono Create the firm’s list of composite descriptions o Create/update GIPS Reportso Liaison with the firm’s verifier to oversee an efficient and timely verification projecto Assist firms to comply with the Global Investment Performance Standards (GIPS®) by creating and amending GIPS policies and procedures needed to achieve and maintain compliance.