Simon Compliance LLC Employee Directory

Legal ServicesIllinois, United States11-50 Employees

Simon Compliance LLC operates as a boutique securities compliance firm within the legal services industry, offering customized compliance programs designed by a former SEC enforcement attorney. The firm emphasizes practical, client-focused engagement, tailoring services to each customer and providing flexible pricing options. Core offerings include SEC registration assistance, policies and procedures development or revision, regulatory filing support (including Form ADV and Form PF), annual reviews, forensic testing programs, marketing material review, compliance training, and other services aligned with client needs. The target market consists of clients needing ongoing, risk-aware compliance support to navigate changing laws and regulations, with an approach that combines legal and financial perspectives to assess and manage risk. Based in Winnetka, Illinois, the firm positions itself as responsive and collaborative, aiming to keep clients compliant both now and into the future. A recent development noted is the expansion of its service offerings through a personalized engagement model that accommodates hourly, project, or retainer arrangements.

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