Securies Industry Compliance & Advisory Services

Stephen O. Simon is the President of Securities Industry Compliance and Advisory Services, LLC.  Stephen’s industry experience includes over 22 years with FINRA in the New York City and Woodbridge, NJ District Offices.  Stephen began his FINRA career in the New York District Office as an examiner¸ eventually becoming a supervisor.  During his FINRA career, Stephen was involved in many of the major cases completed, and for which sanctions were obtained by those offices, including those involving sales practice, financial and operational, and membership application and continuance matters.  In both District Offices, Stephen worked in the examination, CORE and membership application process (MAP) sections.  He was also a supervisor in the New York District’s Enforcement Section. When the New Jersey District Office was established in January 1999, Stephen managed the MAP section, while continuing to be a supervisor dealing with the examination and CORE programs.  Stephen was a FINRA recognized expert in Financial and Operational issues and was designated a Reg. Expert in that area.  Additionally, he was acknowledged as a national expert in MAP.  During years with FINRA, Stephen participated in many programs designed to improve the efficiency of FINRA, such as the redesign of the FOCUS System.  Additionally, he was a member of the six-person team that drafted FINRA’s Member Regulation Handbook, the document that details the standards for the operations of all of FINRA’s regulatory programs.  Furthermore, Stephen was a member of a two-person team that worked on a knowledge transfer project that specifically targeted FINRA’s MAP program, but that also has implications for all of FINRA’s regulatory programs.  Prior to working with FINRA, Stephen worked in internal audit and as an accountant.  He is a graduate of London Metropolitan University, London, England, with a BA in Accounting.

Contact Stephen Simon:

Telephone: 732.742.1142  | 732.602.0958

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