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Lindsey Simon
Founder & CEO at Simon Compliance
Professional Background
Lindsey Simon is a renowned legal and compliance expert specializing in the financial services sector. In 2010, she founded Simon Compliance, a boutique compliance firm dedicated to guiding investment advisers through the complex landscape of evolving laws and regulations within the securities industry. Lindsey's commitment to personalized service distinguishes her firm from others, as she emphasizes the importance of collaboration and customized compliance programs tailored to meet the specific needs of her clients.
The team at Simon Compliance excels in partnering with various types of funds, including private equity, real estate, hedge funds, venture capital, and broad investment advisory firms. Lindsey's approach fosters a culture of compliance by implementing comprehensive training and education programs for employees, ensuring they understand their roles in maintaining regulatory adherence. Her firm also offers ongoing support through regular check-ins, which helps to monitor compliance programs and ensure that no important deadlines are overlooked. This dedication to detail allows clients to concentrate on their core business operations while entrusting compliance matters to Lindsey and her experienced team.
Education and Achievements
Lindsey Simon's academic background perfectly positions her to excel in the legal and compliance realms. She completed her undergraduate studies at Emory University, earning a Bachelor of Arts degree in History and Art History. This well-rounded education provided her with a strong analytical foundation and critical thinking skills, essential for a successful career in law.
Lindsey furthered her education by obtaining a Juris Doctor degree from the prestigious Northwestern University School of Law. Her legal education honed her understanding of complex regulatory frameworks and equipped her with the tools necessary to navigate the intricacies of compliance in the financial sector.
Prior to founding Simon Compliance, Lindsey gained significant experience working in high-profile legal positions. She served as General Counsel and Chief Compliance Officer at Carpe Diem Capital Management, where she oversaw compliance programs and provided strategic legal guidance to the organization. Lindsey also held the position of Senior Attorney at the U.S. Securities and Exchange Commission (SEC), where she cultivated expertise in securities regulation and enforcement, further solidifying her reputation as an authority in compliance within the investment industry.
Additionally, Lindsey’s early career included serving as a Law Clerk for Honorable William J. Bauer at the 7th Circuit Court of Appeals, and she previously worked as an Associate Attorney at Winston & Strawn LLP, where she played a key role in various legal matters.
Notable Achievements
Lindsey Simon is deeply committed to promoting compliance and regulatory understanding in the investment advisory space. Through her leadership at Simon Compliance, she has developed a strong reputation for creating effective compliance frameworks that allow clients to navigate challenges with confidence. Her work has not only relieved clients of the burden of compliance tasks but has also contributed to a more ethically sound investment environment.
In addition to her professional undertakings, Lindsey is committed to continuous learning and elevation of compliance practices in the industry. She actively engages in professional development and stays abreast of the latest compliance trends, ensuring that her firm remains at the forefront of industry standards. Lindsey’s dedication to the legal and financial fields, as well as her innovative approach in building tailored compliance programs, has led her to become a trusted advisor to many investment firms, as they seek guidance in an ever-evolving regulatory landscape.