Ara Jabrayan is a Regulatory & Compliance Consultant with Bates Group. Mr. Jabrayan is also the Managing Member and a senior compliance consultant at RIA Compliance Group, LLC. His regulatory and compliance consulting firm, which he started in 2010, has grown rapidly and now offers services to over 200 clients. Mr. Jabrayan provides a wide range of regulatory and compliance consulting services to new and seasoned investment advisers of any size. In addition to his regular attendance at numerous seminars and meetings dealing with compliance and regulatory issues, Mr. Jabrayan interacts on a daily basis with securities regulators across the country.
His responsibilities as a compliance consultant include conducting comprehensive mock exams for state and SEC registered investment advisers, investment adviser registrations, Form ADV preparation, review and updating, ongoing compliance assistance, compliance training, drafting of compliance procedures, and advertising and marketing reviews. He has also conducted dozens of remote exams for advisers seeking a more cost-effective compliance consulting solution.
Prior to becoming the Managing Member of RIA Compliance Group, LLC, Mr. Jabrayan was a senior compliance consultant with National Compliance Services, Inc., where he was responsible for the registration of over 150 new investment advisers and the drafting of over 200 compliance procedures manuals. Mr. Jabrayan also conducted numerous mock SEC and anti-money laundering audits. Prior to joining National Compliance Services, Mr. Jabrayan spent three years as a senior account executive at Harrington Financial and Energy Advisors, a commodities trading firm based in Boca Raton, Florida.
RIA Compliance Group, LLC, Boca Raton, FL, Managing Member & Senior Compliance Consultant, 2010-Present
Investment Advisory Services Network, LLC, Delray Beach, FL, Managing Member / Investment Adviser Representative, 2012-Present
National Compliance Services, Inc., Delray Beach, FL, Senior Compliance Consultant, 2004-2010
Stuart Advisory Group, LLC, Stuart, FL, Investment Adviser Representative, 2006-2010
Treasure Coast Advisor, LLC, Boca Raton, FL, Investment Adviser Representative, 2009-2010
Level Paths, LLC, Boca Raton, FL, Investment Adviser Representative, 2008- 2009
Harrington Financial and Energy Advisors, Deerfield Beach, FL, Senior Account Executive, 2001-2004
Lebanese University, Faculty of Law and Political and Administrative Sciences, Beirut, Lebanon, 1997-1999
Broward College, Coconut Creek, Florida, 1999-2002
Association of Certified Anti-Money Laundering Specialists® (ACAMS®) – Currently Inactive
FINRA Series 65
FINRA/NFA Series 3
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