IA- Investment Adviser New Hire Onboarding Compliance Checklist

Getting the new hire onboarding process right is essential to an investment adviser firm’s successful retention of talent and setting a strong culture of compliance.  The Investment Adviser New Hire Onboarding Compliance Checklist update serves as an important part of an investment adviser’s overall human resources, operations and compliance programs.  The New Hire Onboarding Compliance Checklist allows firms to memorialize and track their initial onboarding compliance processes while maintaining the necessary documentation in accordance with applicable investment adviser books and records requirements. Members also downloaded Investment Adviser New Hire Due Diligence Form.

Version/Update: V.6/August 6, 2019 (.docx)

Total Page Count: 3

Source/Author(s): Connexien