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.
Founder Lindsey Simon has worked as both a chief compliance officer and an SEC enforcement attorney. She and the Simon Compliance team 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.
Elizabeth’s background is in the legal and financial management of hedge funds, private equity, infrastructure and real estate.She is an expert at client compliance program build-outs and ongoing support, drafting policies and procedures, performing annual reviews and mock audits, assisting with forensic testing and drafting regulatory filings.
Prior to joining Simon Compliance, Elizabeth was AVP - Legal at GCM Grosvenor and an Associate Attorney with William G. Clark Jr. & Associates.She received her B.A. from the University of Dayton and her J.D. from the DePaul University College of Law.Elizabeth is a member of the Illinois bar.
Elizabeth’s experience in the financial industry has taught her that a solid, strong culture of compliance is the cornerstone of any organization.Simon Compliance’s proven track record in delivering best-in-class services to its clients and Lindsey’s unparalleled energy and expertise is the winning combination that convinced Elizabeth to join Simon Compliance.
Susanna’s background is in the legal sector, focusing on advising private fund managers on various legal matters related to fund formation.She excels at drafting policies and procedures, performing annual reviews and mock audits.
Prior to joining Simon Compliance, Susanna was a Private Funds Associate at Simpson Thacher & Bartlett LLP.She received her B.A. from U.C. Berkeley and her J.D. from NYU School of Law.Susanna is a member of the California bar.
Susanna believes Simon Compliance is unique in its detailed but comprehensive approach to assisting investment advisers with all of their compliance obligations.She also appreciates how Simon Compliance is able to survey market practice through a diverse range of clientele, from hedge fund to private equity fund managers in various industries from manufacturing to real estate to hospitality.
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.
Abby is an experienced litigation paralegal who, in addition to her role at Simon Compliance, is currently a law student at Chicago-Kent College of Law.She is expected to graduate in May 2020 with a Certificate in Financial Markets Compliance, which is one of the first such certificate programs in the country.Abby excels at legal research, drafting policies and procedures, drafting regulatory filings and performing forensic testing.
Prior to joining Simon Compliance, Abby was a Litigation Paralegal with three different law firms in Chicago.She received her B.S. from Saint Louis University and her Certificate in Paralegal Studies, Litigation Practice, from Loyola University Chicago – Institute for Paralegal Studies.
Abby joined Simon Compliance because she was drawn to the firm’s focus on efficiency, collaboration and high-quality work.She thoroughly enjoys the camaraderie and level of professionalism at Simon Compliance and believes the small yet high-caliber environment is rare and reflects the overall values and expectations of the team as a whole.
Patrick’s experience is as a corporate paralegal focusing on investment funds.He is skilled at improving operational efficiencies while also attending to the day-to-day tasks that make up a comprehensive compliance program.Patrick excels at client management, legal research, drafting regulatory filings and performing forensic testing.
Prior to joining Simon Compliance, Patrick was a Corporate Paralegal at Kirkland & Ellis LLP.He received his B.A., summa cum laude, from Illinois State University and his M.A. from the University of Chicago.
Patrick joined Simon Compliance because of its innovative and forthright culture.He thinks that Lindsey's bespoke approach, accessibility to clients, and bona fide passion for compliance allows the firm to provide intuitive, proactive solutions that larger firms simply cannot parallel.