Jon Rios Email & Phone Number

Head of Securities Compliance @ Mercury Public Affairs

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Jon Rios Location

New York, NY, US

Jon Rios Work

2025 -now Hadrius Advisory Board @
2024 -now Head of Securities Compliance @
2023 -2024 Compliance @
now Secfi @
2021 -2023 Head of Compliance @
2021 -2021 Chief Compliance Officer @ Inx
2020 -2020 Chief Compliance Officer @ M1 Finance Smart Money Management
2019 -2020 Director of Compliance @
2018 -2019 Director of Compliance | Chief Compliance Officer @
2017 -2018 Compliance Manager @
2016 -2016 Senior Manager, Communications Compliance @
2014 -2016 Marketing Principal; Product and Project Manager @
2012 -2014 Compliance Officer, Investment Banking and Communications @
2012 -2012 Officer, Financial Center Manager and Registered Representative @
2010 -2012 Agency Supervisory Officer @
2008 -2010 Regional Compliance Specialist @
2007 -2008 Branch Manager @
2004 -2007 Officer, Financial Center Manager @

Jon Rios Education

Franklin University
Bachelor of Science
2006-2009
Franklin University
Bachelor of Science

Jon Rios Skills

Executive Positions
Mass
Auditing
Policy
Document Processing
Compliance Testing
Executive Management
Reporting
Operations Management
Streetscape
Investment Banking
Supervisory
Continuing Education
Trading Systems
Consolidation
Meetings
Chicago
Traders
Services
Management
Sold
Presentations
Mitigation
Project Teams
Software
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Dol
Agreement
Regulatory Standards
Pitch Books
Loans
LinkedIn
Campaigns
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Agents
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Violations
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Customer Experience
Element
Compliance Regulations
Legal
Accounting
Shepherding
Governance
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Human Resources
Sales Management
Credit
Downtown
Securities Laws
Banking
Project Management
Field Supervision
Branches
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Microsoft Excel
Execution
Guidance
Towers
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House
Complaints
Net
System
Spanish
Denver
Communication
Uniform Combined State Law
Social Integration
Variable Products
Windows CE
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Trading
Engagement
Series 7
Business Partnering
Testing
Series 24
Investments
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Affiliates
Advertising Agency
Microsoft Office
Voting
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Securities
Series 66
Privacy Law
NFS
Flat Patterning
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RIA
Interviews
Filing
Trade Unions
Appearances
Full Service
Financial Services
Harris
Licensing
Broker Dealer
Dissemination
SEC
HTTPS
Bank Management
Investment Compliance
Columbus
Private Offerings
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24 Hours
Social Media
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Cco
Sales
Rules
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Forms
Responsibility
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Code of Ethics
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Delegate
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C
529 Plans
Insurance
Guidelines
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Nrs
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Series 53
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Investment Advisers Act
Securities Exchange Act of 1934
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Supervisory Principal
Investment Banking Compliance
Investment Adviser Compliance
Ria Advertising Compliance
Broker Dealer Communications Compliance
Osj Supervision
FinTech
Regtech
Securities Lending
Regulatory Reporting
Msrb Compliance
Retail Brokerage
High Net Worth Individuals
Third Party Vendor Management
Development of Employees
Compliance Training
3rd Party Software Integration
Risk Governance
Digital Assets
Cryptocurrency

Jon Rios Summary

Jon Rios, based in New York, NY, US, is currently a Head of Securities Compliance at Mercury. Jon Rios brings experience from previous roles at Hadrius, Fruitful and Secfi. Jon Rios holds a 2006 - 2009 Bachelor of Science @ Franklin University. With a robust skill set that includes Executive Positions, Mass, Auditing, Policy, Document Processing and more. Jon Rios has 2 emails and 2 mobile phone numbers on RocketReach.