Emiliano “Jon” Rios is Chief Compliance Officer (“CCO”) of Anchorage Global, LLC and Compliance Director of its parent, Anchor Labs, Inc. (together, “Anchorage”). Mr. Rios has almost 15 years of leadership and compliance experience across multiple segments of the financial services industry, the last ten of which have been focused in the securities and investments supervision and compliance space. He currently holds FINRA Series 7, 24, 53, and 66 licenses. The firm is currently in “stealth,” pending launch of its financial technology platform.
Mr. Rios most recently served as Compliance Manager of both Wealthfront Inc. (“Wealthfront”), the leading financial technology company and SEC-registered investment adviser providing financial advisory, planning, and investment management services to individuals through its software-only approach, managing over $10 billion in client assets and its affiliated FINRA broker-dealer member, Wealthfront Brokerage Corporation (“WBC”). While at Wealthfront, Mr. Rios led a number of regulatory compliance initiatives including enhancements to the firm’s Code of Ethics administration, developing, implementing and discharging a Communications Compliance program, and building the organization’s compliance records repository and training modules, leveraging technology and automation to achieve greater efficiencies at scale. He also worked closely with Wealthfront’s engineering, product, design, marketing, finance and operations teams to facilitate WBC’s migration from a fully disclosed to omnibus clearing arrangement, enhance the firm’s 529 Plan product offering, and launch its innovative margin lending product, Portfolio Line of Credit.
Prior to Wealthfront, Mr. Rios served as a Senior Communications Compliance Manager of Charles Schwab & Co., Inc., working closely on regulatory compliance related to communications with several of that firm’s investment adviser affiliates, including Charles Schwab Investment Advisory, Inc., Schwab Private Client Investment Advisory, Inc., Windhaven Investment Management, and ThomasPartners Investment Management, Inc. His responsibilities also included compliance support for the Schwab Center for Financial Research, which produces content from some of the top minds in finance and the economy to provide clients with expert insight into financial markets. Mr. Rios also previously held compliance and supervision positions with BMO Harris Financial Advisors, BC Ziegler & Company, MassMutual Chicago, and Huntington Investment Company.