David Simon

Strategic Risk & Compliance Analyst with extensive years of experience supporting regulated financial services environments through compliance auditing, risk assessment, control evaluation, regulatory interpretation, and issue remediation. Proven ability to maintain audit‑ready documentation, manage compliance evidence repositories, and strengthen operational controls across maturing compliance programs. Skilled in translating federal, state, and investor requirements into actionable operational guidance, supporting regulatory filings, and ensuring accurate, complete, and timely submissions. Adept at identifying control gaps, coordinating root‑cause analysis, and driving remediation to reduce recurring findings. Known for partnering with cross‑functional teams to embed compliance requirements into workflows, improve process consistency.