Jerome Jordan

Director of Regulatory Compliance Services

Jerome Jordan is a Director of Regulatory Compliance Services with Renaissance Regulatory Services, Inc., a full-service consulting firm. Renaissance offers a wide range of regulatory and compliance consulting services to broker-dealers and investment advisers. Mr. Jordan joined Renaissance in 2016. Prior to joining the firm, he gained more than thirty-five years of regulatory and compliance experience as a state regulator. His background includes over thirty years of supervising and conducting examinations of investment advisers and broker-dealers. These examinations involved federal, state, and self-regulatory organization rules and regulations.

Compliance Consulting at Renaissance

At Renaissance, Mr. Jordan has managed and participated in numerous engagements. These engagements include business startups, establishing and implementing compliance programs, and conducting annual reviews and mock examinations. He also performs ad hoc compliance reviews and reviews required by regulatory mandates. In addition, Mr. Jordan provides regulatory and compliance support to organizations ranging from single-person firms to global enterprises.

Regulatory Experience with the State of Florida

As a regulator, Mr. Jordan served with the State of Florida Division of Securities. He spent twenty-three years as Manager in the Division’s South Florida region. In this role, he oversaw all aspects of the Division’s examination program. While serving as Manager, Mr. Jordan developed the State’s comprehensive broker-dealer examination module. He also initiated enhanced examination protocols. He planned, conducted, and supervised complex financial, operational, and sales practice examinations of investment advisers and broker-dealers. In addition, he conducted staff training and development and provided litigation and settlement support to the Division’s Legal staff. Before becoming Manager, Mr. Jordan served as a Financial Specialist. In this role, he planned, coordinated, and conducted examinations of investment advisers and broker-dealers. He also participated in several regulatory task force sweep examinations with the SEC, FINRA, and NASAA participants.

Industry Training and Speaking

Over the course of his career, Mr. Jordan was a speaker at numerous regulatory training events including several NASAA Broker-Dealer training programs. He also provided training to the regulatory compliance staffs of most states through NASAA, as well as staff from the Republic of the Philippines and the Commonwealth of Puerto Rico. 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.

Education

Mr. Jordan received a Bachelor of Science in Finance from Florida State University. He also earned a Master of Accounting from Florida International University. In addition, he received a Certificate from the Institute of Internal Auditors for successfully completing the Endorsed Internal Auditing Program at Florida International University.