Jon R. Pearn Email & Phone Number

Denver, CO, US

New York, NY, US

As a Regulatory Supervision Director (RSD) my responsibilities include leading a team of five Regional Supervisory Principals (RSPs) and one Registration and Licensing Coordinator (RLC) in the supervision and oversight of the registered, and non-registered, associated personnel within the West-Central Region's OSJ Complexes (Houston, TX, Pasadena, CA.

Appleton, Wisconsin, US

• Served as the creator of the policies and procedures for the broker-dealer network, creating both guides and manuals for Registered Representatives and Investment Adviser Representatives.
• Accountable for cross-departmental standardization of policies and procedures being achieved via the consensus of all Chief Compliance Officers, Chief Operations Officers and Sale Supervision Department Leads.
• Oversaw all proposed and amended rules and regulations from the self-regulatory organizations in addition to creating policies and procedures to ensure broker-dealer network compliance at all times.
• Drafted policy amendments, field alerts and compliance bulletins, ensuring delivery to all Registered Representatives and Investment Adviser Representatives within the network.
• Wrote and implemented in-house, proprietary training modules including Anti-Money Laundering, Variable Annuity, Correspondence, Social Media and Municipal Securities modules and an Annual Compliance Questionnaire for.

• Led 6-licensed direct reports including the Chief Compliance Officer, Operations Manager, Information Technology Manger, National OSJ Manager, Securities Registration Manager and Director of Insurance Licensing.
• Maintained full responsibility of the daily operations of the organization including the Operations, Information Technology and Compliance departments.
• Directed all compliance and operations aspects of the firm comprised of 275 Registered Representatives equaling gross dealer concession of $35M+.Notable achievements while in the position included:- Accountable for.

• Wrote and continually updated the firm’s Written Supervisory Procedures and Branch Office Procedures as needed.
• Oversaw the firm’s annual branch office inspections, annual compliance meetings and continuing education requirements.
• Managed litigation, arbitration and regulatory inquiries in a timely, professional manner. Notable achievements while in the position included:- Achieved the firm’s 1st self-regulatory examination Exit Summary that.