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.

Christina is a certified public accountant with more than 15 years of experience in GAAP financial reporting, performance measurement, valuations and systems/process implementation. She joins Simon Compliance most recently from a real estate adviser, where she assisted in verifying the track record of over 10 products in anticipation of SEC registration, including “Model Net” calculations in compliance with the SEC Marketing Rule. While at the real estate adviser, Christina was responsible for launching the company’s inaugural open-end fund, including building out the system of record, financial reporting and performance measurement metrics from the investment-level to the investor-level both with and without the impact of debt and on a gross and net basis. . She also managed the quarterly valuation process for roughly 200+ investments. Christina’s experience includes financial reporting and performance measurement for closed-end funds and separate accounts, financial analysis and cash flow management, third-party fund administration onboarding, waterfall computations and accounting policies and procedures over financial reporting. She began her career as an auditor with EY focusing primarily on financial services clients.

Christina excels at work related to performance measurement, financial reporting, fund launches and policy and procedure documentation and implementation over financial reporting. Christina particularly thrives with guiding clients through performance metric requirements as outlined in the SEC Marketing Rule and implementation of the Quarterly Statement provision of the Private Fund Adviser Rule. She recognizes that every firm is unique and is dedicated to delivering results tailored to each facet of our client’s business. Simon Compliance’s dedication to their clients, customized solutions and focus on staying abreast of regulatory changes is what drew Christina to join the team. She aims to mirror the same level of dedication, collaboration and customization with clients that they have come to know and appreciate.

Christina received her Bachelor of Business Administration, magna cum laude, from Texas Christian University (TCU) and her Master of Accounting from NC State, where she received the EY Fellowship. She is a licensed CPA in the state of Massachusetts and is an active member of NCREIF, specifically Performance Measurement, where she presently sits on the subcommittee for the Private Funds Rule.

With a keen eye for detail and a passion for efficiency, Devon ensures that projects are executed seamlessly from start to finish. She has a proven track record of leading both external and internal projects to successful completion, and is adept at supporting organizations through compliance and regulatory management. She is experienced in developing company structures and process map workflows, overseeing customer accounts and maintaining high customer retention rates. Devon's strong leadership skills and creativity are key to her ability to direct business strategies and achieve client satisfaction.

Before joining Simon Compliance, Devon honed her skills in various leadership roles specializing in the Healthcare, Technology, and Startup industries. At On Belay Health Solutions, she served as an Innovative Project Manager supporting company growth and restructure. As the Mid-Atlantic Director of Customer and Community Success at Unite Us, Devon managed a highly skilled team across seven states, ensuring top-tier customer support and satisfaction. Her role(s) as the Director of Conferences and Events at the West Virginia State Medical Association, and within the West Virginia Legislature further showcased her ability to lead complex projects and deliver outstanding results.

Devon holds a Master of Public Administration and a Bachelor’s degree in Public Relations from West Virginia University. She is also course certified in the Project Management Institute’s Project Management Professional (PMP) Certification, underscoring her expertise in the field.

Devon was drawn to Simon Compliance because she thrives working in fast-paced environments, similarly associated with the ever-changing compliance world. She also deeply values Simon Compliance’s collaborative approach to working as a team to support clients. Devon lives her professional and personal life with the same dedication and enthusiasm, always striving to make a positive impact and inspire those around her.