Jonathan Hurd, CAMS
CEO, COMPLIANCE AND RISK MANAGEMENT
Jon founded Asgard Regulatory Group in 2008, providing broker-dealer and investment adviser compliance consulting services clients both domestic and abroad. Jon has expertise in broker-dealer and investment advisory regulations and is well versed in FINRA and SEC rules and regulations. Prior to starting Asgard Regulatory Group, Jon was the Chief Compliance Officer for several financial institutions. His experience involves full-service broker-dealer, investment advisory services, bank-broker-dealers, and securitizations of mortgage-backed securities. Jon also served on the Board of Directors for many of these companies.
Prior to this, Jon was a Supervisor of Examiners at FINRA, previously NASD, in the New York District Office. While with FINRA, he supervised routine examinations of FINRA member firms, conducted large- scale enforcement cases jointly with the Justice Department and Federal Bureau of Investigations. Jon also assisted the District Office with its ongoing training of new examiners.
In addition, Jon was a Senior Adjunct Professor in the Townsend School of Business at Dowling College whereby he provided in-depth knowledge and related work experience to MBA students as it related to the U.S. securities markets and financial institutions. He was responsible for introducing students to the subjects of financial derivatives, foreign stock exchange, hedge transactions and risk management.
Jon earned his BBA in Accounting and his MBA in Banking and Finance from Dowling College. Jon is also a Certified Anti-Money Laundering Specialist (CAMS) and holds the Series 7, 14, 24, 27, 53, 57, 63, 66, 79 and 99 licenses as well as his NYS Life and Health Insurance licenses.
Jon’s technical skills along with his interpersonal skills makes him a unique resource for our clients. Jon resides in Suffolk County, New York with his wife Maria and 3 children – Justin, Kimberly and Alyssa.
Personal interests for Jon and his wife Maria include watching their son’s baseball games and enjoying their daughter’s acting and singing performances on stage. He also enjoys to play golf as often as possible as well as vacationing with his family. Jon is an avid superhero fan as you may have noticed by the name of our company. In addition, Jon and Maria volunteer their time in supporting the local community in both the sports and performing arts programs.