Amy Jones, Cipm Email & Phone Number

Seattle, Wa

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. www.guardianperformancesolutions.com

Assisted investment advisers in conducting their required annual review, prepared and filed Form ADV, tested codes of ethics and compliance programs. Performed mock audits, created policies & procedures and assisted with registration functions. Also, assisted advisers with their ongoing compliance responsibilities including the review of performance advertisements and other marketing material.

Conducted hundreds of GIPS verifications and consulted with advisers ranging in assets from $25 million to $400 billion under management. Responsibilities included:• Relationship manager for 100+ registered investment advisors providing compliance consultation• Responsible for supervision and development of 10 professionals located in multiple offices• Consulted with clients on the Global Investment Performance Standards (GIPS®) and SEC advertising requirements• Managed the engagement process including negotiating contracts, scope of work and fee structure • Evaluated the appropriateness and consistent application of compliance policies and procedures• Reviewed marketing/advertising disclosures and regulatory filings • Assisted in preparing risk assessments, verification plans and working papers • Maintained constant communication with engagement partners to ensure objectives are met• Conducted quality control reviews of work product completed by other team members• Involvement in Mock SEC examinations which involves testing RIA’s internal controls • Created and delivered educational presentations to advisors on relevant issues impacting the investment management industry• Proactively identified client needs to promote business solutions resulting in additional services • Exhibited at conferences including Schwab IMPACT, Advent, CFA Institute and GIPS