Each of our professionals has outstanding credentials and experience and believes in partnering with clients to create customized compliance programs. With expertise in investment advisory firms, hedge funds, private equity funds, swap dealers, commodity pool operators, commodity trading advisors, future commission merchants and introducing brokers, we can knowledgeably address any compliance-related matters. Since it is increasingly common for firms to register in multiple capacities, our depth and breadth of experience allows us to efficiently address multi-faceted regulatory issues.
Lindsey Simon Founder & CEO
Lindsey Simon started Simon Compliance in 2010 to provide honest, direct and customized answers to clients seeking to create and maintain cultures of compliance. She believes the role of a compliance consultant is to educate employees and companies on what they need to know to comply with the federal securities laws in general, and with an investment adviser’s compliance program in particular. Experience with a wide range of clients affords her a distinct market perspective and a continually evolving understanding of the changing landscape of compliance, which she is eager to share with her clients. Whether working on day-to-day compliance issues with a firm or preparing an annual review, she’s built a firm that tailors expert work to the needs of her clients and values long- term partnerships and relationships.
Lindsey is a securities professional with over 19 years of experience. She specializes in private equity registration, hedge fund registration, mock SEC audits and ongoing compliance management for investment advisers. She served as a Senior Attorney with the United States Securities and Exchange Commission in the Division of Enforcement and as General Counsel and Chief Compliance Officer at Carpe Diem Capital Management, a Chicago-based hedge fund. She was an Associate in the litigation department of the Chicago office of Winston & Strawn and also served as a law clerk for the Honorable William J. Bauer of the Seventh Circuit Court of Appeals. Lindsey received her B.A., cum laude, from Emory University, and her J.D. from Northwestern University School of Law, where she was Editor-in-Chief of the Journal of Criminal Law and Criminology.
Lindsey’s team includes experienced compliance lawyers and additional support staff to provide comprehensive, client-focused service.