Jon Simone

Jon J. Simone has more than 20 years of compliance and regulatory experience within the capital markets industry.

As a Senior Presales Consultant at MCO, Jon guides customers through the complex process of acquiring and implementing strategic software solutions to meet their compliance requirements. He applies his compliance and industry knowledge to provide advice and guidance on compliance policies, procedures, and regulatory requirements as they pertain to compliance technology.

Prior to joining MCO, Jon has held roles in both technology and capital market firms including Compliance Subject Matter Expert, Solutions Architect, Head of Sales, CEO, Chief Compliance Officer, Securities Principal, and Head Trader at SEC, FINRA and NYSE registered organizations. 

1b. ALL LAB – Managing Conflicts of Interest and Employee Reporting Obligations (Intermediate - CLOSED)

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