With a keen eye on the ever-changing compliance landscape, Simon Compliance keeps your business covered.
At Simon Compliance, we know that no two businesses are alike. That’s why each of our clients receives a customized compliance program designed by a former SEC enforcement attorney who knows what it takes to comply with the ever-changing laws and regulations.
Our specialty is partnering with private equity funds, real estate funds, hedge funds, venture capital funds and investment advisory firms. We bring a high level of understanding to your business and then dig deeper to know even more. By working closely together with you and your team, we help you meet your compliance needs.
Making time for compliance is critical, but we know it’s not always top of mind for businesses. That’s why Simon Compliance keeps you on a schedule, according to the customized compliance program we create. We help train and educate your team on what needs to be done to be compliant. Then we check in regularly to ensure you are continuously testing and monitoring your program and that no deadlines are being missed.
In short, we focus in on your compliance needs so that you can focus on your business.
With backgrounds in both the legal and financial fields, the Simon Compliance team brings a practical market perspective to compliance. We understand the commercial component to your business and know how to assess and manage your risks. Using our expertise and a collaborative approach, we create your customized compliance solution, offering carefully considered advice and accessible, responsive service at every step along the way.
Founder Lindsey Simon has worked as both a chief compliance officer and an SEC enforcement attorney. She and the Simon Compliance team know compliance from all angles because they have decades of hands-on experience.
The trust and confidence of your investors are reliant on a strong culture of compliance. At Simon Compliance, we understand and are always watching out for you. As a boutique securities compliance firm, we provide personal attention, tailoring each engagement and offering the option of hourly, project or retainer pricing. Our basic services include registration with the SEC, creation or revision of policies and procedures, assistance with regulatory filing obligations including Form ADV and Form PF, annual reviews, creation of a forensic testing program, compliance training and other services specific to your needs. Working together, we keep your business compliant now and in the future.
When Lindsey was General Counsel and Chief Compliance Officer of Carpe Diem Capital Management, a hedge fund in Chicago, she was surprised that as a former SEC enforcement attorney and Winston & Strawn attorney, she still felt unprepared for the minutiae of running a compliance program.Whenever she called outside counsel or compliance consultants, she was frustrated, not only with the ensuing bills, but also with the lack of answers she received.Lindsey models Simon Compliance on the type of advice, handholding and rates she would have liked when she was in-house.
With more than 20 years of experience as a securities professional, Lindsey has been featured in several industry publications, including Crain’s Chicago Business, The Wall Street Journal and Bloomberg Business Week.She specializes in private equity registration, hedge fund registration, mock SEC audits and ongoing compliance management for investment advisers.
Lindsey 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 is a member of the Illinois bar.
Sterling’s background is in the legal sector, focusing on the regulation and formation of hedge funds and private equity funds. He has represented investment advisers with regard to securities offerings, related filing obligations and investment management compliance matters. Sterling is an expert at client compliance program build-outs and ongoing support, drafting policies and procedures, performing annual reviews and mock audits, assisting with forensic testing and drafting regulatory filings.
Before joining Simon Compliance, Sterling was an Associate in the Investment Funds Practice Group of Kirkland & Ellis in Chicago, and an Associate within Winston & Strawn’s Financial Services Practice Group, also in Chicago.
Prior to law school, Sterling spent four years in the financial services sector as a registered representative within a banking institution, providing advice to both retail and institutional clients. He received his B.S. from the University of Alaska and his J.D. from Harvard Law School. Sterling is a member of the Illinois bar.
Sterling was drawn to Simon Compliance because of its proven track record in delivering best-in-class services that are customized to each client.
Tierney’s expertise in hedge fund formation comes from her paralegal background at a boutique securities law firm in San Francisco. She is knowledgeable about registering investment advisers and the regulatory filings that accompany registration.
During law school, Tierney gained practical experience from her various legal and compliance internships, clerk positions and her time as Executive Managing Editor of the Loyola University Chicago Journal of Regulatory Compliance. She received her B.S. from Santa Clara University and her J.D. from Loyola University Chicago School of Law.
Tierney joined Simon Compliance after graduating from law school because of the unique opportunity the firm provides to further her skills in financial regulatory compliance. She says there are few firms that offer the same kind of service and the same level of detail and care with respect to financial regulatory needs.
The Simon Compliance team is passionate about the work they do, which is evident in the level of support they provide to their clients.
Jason is experienced in compliance matters and the regulatory filings required of registered investment advisers in the private equity and hedge fund industry, including Form ADV, Form PF, Section 13 and Blue Sky, among others.He also is proficient in assisting with annual reviews and performing legal research.
Before joining Simon Compliance, Jason was a Paralegal at a boutique Chicago law firm specializing in investment adviser and broker-dealer regulation and compliance.He received his B.A., cum laude, from the University of Illinois at Chicago and holds a paralegal certificate from Roosevelt University.
Jason joined Simon Compliance because there is a level of detail and customization that is not available from other compliance firms, both big and small.He believes Lindsey’s personal approach to the client relationship allows for a better understanding of each client’s circumstances and needs.Lindsey’s knowledge, experience, dedication and support create a working environment that fosters great professional growth in this ever-evolving compliance world.