Matthew Murray
Experienced CCO in the RIA industry
- Role
- Chief Compliance Officer at Joot
- Location
- Jacksonville, FL, US
- LinkedIn followers
- 500 followers
About Matthew Murray
Experienced CCO in the RIA investment compliance supervision field.
Experience
Chief Compliance Officer
Mar 2024 — Present · US
Provide consulting and advice to SEC registered investment advisers regarding the Investment Advisers Act of 1940, state registration laws, private funds, registered funds, separately managed accounts, and model portfolios- Provide consulting and advice to investment advisers and sub-advisers regarding the Investment Company Act of 1940, Rule 38a-1 compliance responsibilities and Board reporting- Serve as a Chief Compliance Officer for SEC registered investment advisers and registered fund- s- Prepare and file SEC filings such as Form ADV, Section 13 (such as 13F, 13H, 13G), Form D, and Form PF- Update and file Form U5 and Form U4 for investment adviser representatives- Create and maintain compliance procedures and keep track of regulatory changes- Collect and review Code of Ethics reporting documents- Conduct reviews of client’s employee emails- Conduct reviews of investment adviser advertising, websites and social media sites- Create and update risk assessments- Test and audit compliance procedures- Conduct SEC mock audits- Complete annual Rule 206(4)-7 and Rule 38a-1 compliance reviews- Assist with and manage SEC exams- Assist with compliance training of client’s employees- Manage the deliverables schedule for your clients to ensure regulatory deadlines and other agreed upon services are met in a timely manner- Use compliance software to help clients with compliance responsibilities- Prepare written content on regulatory topics for posting on Joot’s website, social media sites and to distribute to prospects and clients- Develop new client relationships.
Education
University of Florida
MAB, Food and Resource Economics
2005
University of Florida
BS, Food and Resource Economics
2005
Allen D. Nease High School
Diploma, Center for Environmental and Architectual Design - CEAD
1999
University of Florida
Minor, Agricultural Information Technology
2005
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