Jonathan Hurd, CAMS

Jonathan Hurd, CAMS

CEO, COMPLIANCE AND RISK MANAGEMENT

Jonathan "Jon" Hurd, CAMS, is the visionary founder of Asgard Regulatory Group, LLC ("Asgard"), established in 2008 to deliver comprehensive compliance and risk management services to clients both domestically and internationally. With a career spanning over two decades, Jon’s expertise encompasses broker-dealer and investment advisory regulations, with a deep command of FINRA and SEC rules and regulations.

Before founding Asgard, Jon served as the Chief Compliance Officer for several financial institutions, where he honed his skills in managing full-service broker-dealers, investment advisory services, bank-broker-dealers, and securitizations of mortgage-backed securities. His leadership extended to boardroom responsibilities, having served on the Board of Directors for many of these companies. Today, Jon plays a multifaceted role for his clients—acting as their Chief Compliance Officer, AML Compliance Officer, Principal Financial Officer, and Principal Operations Officer.

Jon’s regulatory career includes a distinguished tenure as a Supervisor of Examiners at FINRA (formerly NASD) in the New York District Office. In that capacity, he supervised routine examinations of FINRA member firms, led large-scale enforcement cases in collaboration with the Justice Department and the FBI, and contributed to the training of new examiners.

An educator at heart, Jon also shared his extensive industry knowledge as a Senior Adjunct Professor in the Townsend School of Business at Dowling College. He provided MBA students with a deep understanding of U.S. securities markets, financial institutions, derivatives, foreign stock exchanges, hedge transactions, and risk management—preparing the next generation of financial professionals.

Jon earned his BBA in Accounting and his MBA in Banking and Finance from Dowling College. He is a Certified Anti-Money Laundering Specialist (CAMS) and holds a comprehensive array of licenses, including Series 7, 14, 24, 27, 53, 57, 63, 66, 79, and 99, as well as New York State Life and Health Insurance licenses. Additionally, he contributes his expertise as a member of the Board of Directors for IBS, Inc.

Known for blending technical prowess with exceptional interpersonal skills, Jon is a uniquely valuable resource for his clients. When he’s not guiding organizations through the evolving regulatory landscape, he enjoys quality family time in Suffolk County, New York, with his wife Maria. Their personal interests include playing golf, family vacations, and supporting local sports and performing arts programs. An avid superhero fan, Jon’s passion for the extraordinary is reflected in the very name of his company.