Sharon Jones

Compliance Consultant

Sharon Jones joined East Paces Group in 2020 as a Compliance Consultant. Sharon has over 22 years of financial services experience in FINRA, SEC, and MSRB compliance. During her tenure in the financial services industry, Sharon has worked for various broker/dealers in roles such as CCO, FINOP, Options Principal, & Municipal and Investment Banking roles. Sharon also has valuable experience with regulators by working for the FINRA Atlanta Office where she conducted routine examinations on broker-dealers, and acted as a liaison between FINRA and broker-dealers by assisting them in compliance rules and regulations. For the last 15 years, Sharon has been servicing broker/dealers and Registered Investment Advisors in helping them with the design and implementation of their compliance and supervisory programs. While in these roles, she assisted firms with their procedures, processes, operational controls and prepared them for routine examinations and assisted with regulatory inquiries. Sharon’s passion is to really help broker/dealers and investment advisors understand regulations and design processes and controls to ensure compliance. She enjoys spending time with each person in the Firm to ensure they understand their roles and responsibilities and what is required from a compliance perspective.