Jerome Jordan is a Director of Regulatory Compliance Services with Renaissance Regulatory Services, Inc., a full-service consulting firm that offers a wide range of regulatory and compliance consulting services to broker-dealers and registered investment advisers. Mr. Jordan has over thirty-five years of regulatory and compliance experience as a state regulator, which includes a unique combination of over thirty years of supervising and conducting examinations of both investment advisers and broker-dealers regarding federal, state, and self-regulatory organization rules and regulations.
As a regulator, Mr. Jordan’s experience with the State of Florida Division of Securities includes twenty-three years as Manager in the Division’s South Florida region where he was responsible for all aspects of the Division’s examination program. While serving as the Manager, Mr. Jordan developed the State’s comprehensive broker/dealer examination module and initiated enhanced examination protocols. Mr. Jordan was responsible for planning, conducting, and supervising complex financial, operational and sales practice examinations of investment advisers and broker-dealers, as well as conducting staff training and development. He provided litigation and settlement support to the Division’s Legal staff. Prior to becoming the Manager, Mr. Jordan served as a Financial Specialist, planning, coordinating and conducting complex financial, operational and sales practice examinations of investment advisers and broker-dealers. He also participated in several regulatory task force sweep examinations with the SEC, FINRA and NASAA participants.
Over the course of his career, Mr. Jordan has been a speaker at numerous regulatory training events including several NASAA Broker-Dealer training programs. He also provided training to the regulatory compliance staffs from the Republic of the Philippines and the Commonwealth of Puerto Rico, as well as to international banking regulators. His presentations have included investment adviser and broker-dealer regulation (books and records, advertising, dishonest practices), branch office examination, supervision requirements, sales practices, registration issues, market manipulation, anti-money laundering and selling away.
Mr. Jordan received a Bachelor of Science in Finance from Florida State University and a Master of Accounting from Florida International University. He also received a Certificate from the Institute of Internal Auditors for successful completion of the Endorsed Internal Auditing Program at Florida International University.
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