Andrew Jones

Associate Director

BA, Bowdoin College

Mr. Jones conducts due diligence on a variety of financial products, clients, vendors, and business constituents. He has reviewed numerous complex financial products with a focus on regulatory compliance programs of domestic and global investment advisors. He earned his CAMS certification from the Association of Certified Anti-Money Laundering Specialists and conducts Independent Anti-Money Laundering Reviews of mutual funds, ETFs, advisers, and Broker-Dealers, as well as providing compliance consulting services. He holds a FINRA Series 7 registration.