Due to covid-19, we are working virtually and are available by phone or email. Please send mail to our p.o box listed in menu.
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.
Lindsey Simon founded Simon Compliance in 2010 after serving as both a chief compliance officer and an SEC enforcement attorney. Backed by a supportive team, the Simon Compliance professionals 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, the Economic Club of Chicago and the Midwest Chapter of the Private Equity CFO Association Advisory Board.
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.
Kelley is a certified public accountant with more than 20 years of experience in financial reporting, compliance, and investor relations. She joins Simon Compliance most recently from the world of institutional investing, where she was Director of Compliance for Emory University’s endowment. Kelley’s background also includes significant financial reporting experience for public companies in the food service and airline industries. She began her career as an auditor with KPMG focusing primarily on financial services and real estate clients.
Kelley excels at work related to regulatory and compliance matters, process improvement and internal controls, and communicating with key stakeholders, such as board members, shareholders, and investors. She was drawn to Simon Compliance by Lindsey’s highly collaborative approach to working with clients and proven track record of delivering results. She is excited for the opportunity to balance out her experience in investment compliance by working with investment managers after having been on the institutional investor side for almost eight years.
With over 22 years of experience, Amanda is a dedicated law clerk who focuses on securities, corporate governance, and compliance. She has worked in various regulated industries ranging from private equity (real estate) and pharmaceutical to entertainment and travel. Her background includes significant experience with corporate law, including public and private reporting, mergers and acquisitions, and corporate restructuring.
Inspired by Lindsey as a trailblazer and an industry expert in the field of compliance, Amanda’s focus shifted from Canadian regulatory compliance to U.S. regulatory compliance. This curiosity led her to frequently seek guidance from Lindsey to broaden her knowledge of the regulatory requirements of the U.S. Securities and Exchange Commission.
Amanda is a great asset to Simon Compliance, expertly handling our clients’ businesses while assessing and managing their risks. She plays an integral role in our firm’s collaborative approach, leveraging her expertise to help execute customized compliance solutions. She is proud to be part of the team at Simon Compliance and excited to continue to provide industry leading service to our clients.
Amanda holds a Bachelor of Arts (Honors) degree from Queen’s University and a Law Clerk diploma from Centennial College.
Andrea is a seasoned attorney with over a decade of experience in providing counsel to investment advisers and financial institutions on regulatory and compliance adherence. Having worked in both private practice and as in-house counsel, Andrea recognizes the unique needs and challenges faced by businesses navigating an ever-evolving compliance landscape.
Prior to joining Simon Compliance, Andrea was associate general counsel and executive director at a registered investment adviser and CTA/CPO, where she oversaw the development and implementation of the firm’s compliance program and was integral to the formation and administration of its private investment funds. Before her in-house position, Andrea was an associate attorney in the Derivatives group at Skadden, Arps, Slate, Meagher & Flom LLP during which she worked on numerous matters before the SEC, CFTC, FINRA and DOJ and played a pivotal role in providing guidance on emerging rulemakings and regulatory compliance to various financial institutions.
Andrea strongly believes that a tailored and thoughtful approach is crucial to developing an effective compliance program, which is what drew her to Simon Compliance. She finds Lindsey’s distinct perspective, meticulous analysis and client-centric commitment to be unparalleled and is inspired by Lindsey’s unwavering dedication to delivering exceptional and strategic solutions. Andrea is enthusiastic about joining Simon Compliance and having the opportunity to leverage her experience to help organizations assess their compliance needs and to provide them with customized recommendations, training and support.
Andrea received her B.A., magna cum laude, from University of South Carolina and her J.D. from Georgetown University Law Center, where she was the Administrative Editor for the Georgetown International Environmental Law Review. Andrea is a member of both the New York State and District of Columbia Bar Associations.