Who We Are
Our mission is to help broker-dealers and registered investment advisers stay compliant without slowing down their business. We bring deep compliance and governance expertise, paired with hands-on work reviewing your workflows and implementing the AI-powered tools that fit them, so your team spends less time on manual review and more time serving clients.
Jean Urquiola, Compliance & Governance
Jean started her career on Wall Street as a wealth adviser, then discovered compliance and never looked back. She co-founded Fort Ghent Brokerage, a New York broker-dealer, built its entire compliance program from scratch as Chief Compliance Officer, and later sold the firm with her partner. Today, she acts as outsourced CCO for a select few broker-dealers, guiding new firms through FINRA's NMA (New Membership Application) process and existing ones through CMA (Continuing Membership Application) filings. Along the way, she's walked firms through both SEC & FINRA exams, routine sweeps, and the ones that keep a CCO up at night, and she knows the broker-dealer and RIA rulebooks well enough to spot hidden risk before an examiner ever asks.
That instinct is exactly what she brings to Compliance Matters NYC, the seasoned human behind every AI-assisted review before it reaches an examiner.
Jean is a FINRA-registered principal holding Series 7, 24, 51, 79, and 99 licenses.
Simon Moy, Operations & AI Implementation
Simon's first job in financial services was as an executive assistant to a man who later became CEO of Jefferies & Co., a crash course in ownership and communicating clearly under pressure.
He carried those lessons into two fast-growing tech companies he led and ran, one he co-founded and one he built solo, both eventually sold. His operational experience spans small and mid-size firms to enterprise clients in financial services like NASDAQ, and an operational leadership role at Fox News Digital, picking up a Series 65 along the way. Getting companies ready to sell, and running operations at that kind of scale, taught him how much discipline it takes to make strategy, financial forecasting, and business processes hold up under real scrutiny.
That’s the same discipline compliance and governance require every day. That operator’s instinct is what he brings to Compliance Matters NYC, and why the work that matters most here still gets a human check.