Chief Compliance Officer
- Company:M1 Finance
- Short Bio:E. Jon Rios is Chief Compliance Officer and AML Compliance Officer at INX Limited, a financial technology company and its subsidiaries INX Digital, a cryptocurrency exchange and INX Services, an upcoming broker-dealer and ATS for digital securities. Jon’s 17 years of leadership and compliance experience span the financial services industry, starting in retail banking, moving to wealth management and investment banking, and now in FinTech startups. Drawing from the experience gained in more traditional organizations, his work in FinTech is grounded in a robust understanding of regulatory frameworks. Understanding that the role of compliance is to support and enable teams so that they can accomplish their best work, Jon is passionate about forming strong internal relationships with engineering, product, sales, operations and marketing teams. He’s also an advocate for bringing regulators and auditors along for the journey, stressing the valuable insight and guidance that they have to offer. At INX, Jon is responsible for leading all aspects of the compliance function, navigating the exciting new world of digital assets and applying creative, technology-enabled solutions that can scale with the company. Prior to INX, he served as Chief Compliance Officer at M1 Finance, the fast-growing consumer FinTech money management platform. At M1, he implemented compliance technology to match the innovation of the rest of the business, instituted a licensing program for associates, and led the company’s initiatives related to Regulation Best Interest and the Consolidated Audit Trail. Other recent experience includes serving as Chief Compliance Officer at Anchorage, the crypto-native digital asset platform offering security engineering solutions for secure crypto custody, trading, staking and governance and was a Senior Compliance Manager at Wealthfront, the top robo-advisor and financial planning service. He holds FINRA Series 7, 24, 53, and 66 licenses. When he’s not thinking about regulatory compliance, Jon is a workplace culture warrior - leveraging his leadership role to actively engage in fostering an ethical, inclusive workplace where everyone can thrive. To better partner with teams and to “meet them where they are,” Jon has taken SQL and Python courses, participates in DE&I initiatives, and dives head-first into product design testing. Making the big move to the Big Apple in the summer of 2021, Jon is looking forward to exploring his new home as he helps to build INX into a world-class digital assets financial services provider.