Rebecca Johnson, IACCP®

Portfolio Management & Compliance Associate


Rebecca is in charge of overseeing operations and compliance for the firm. With a focus on policies and procedures, Rebecca ensures that the Back Office Operations team’s daily tasks are completed in a timely and accurate manner. In her role in Compliance, Rebecca works closely with the Chief Compliance Officer and coordinates all of the Compliance tasks as required by the many rules and regulations related to an SEC (U.S. Securities and Exchange Commission) Registered Investment Advisor (RIA).


Rebecca has been in the Investment Management field for over fifteen years with a focus on Back Office Operations and in more recent years, Compliance. In 2015 she earned the IACCP ® designation (Investment Adviser Certified Compliance Professional), sponsored by NRS (National Regulatory Services).


Keene State College, Investment Advisor Certified Compliance Professional (IACCP®)


Rebecca enjoys hanging out with her co-workers outside the office, especially when it involves a Pirates game, bowling or taking a dinner tour on the Gateway Clipper. She also likes to exercise, garden, and read in her spare time.