Open to opportunities

Jon Cooper

@joncooper

Message

Experienced alternative investments and compliance leader focused on operational due diligence and supervision.

United States

Message

What I'm looking for

I seek a senior compliance or operational due diligence role where I can lead alternative investments oversight, improve processes, mentor teams, and strengthen regulatory risk controls.

I am a respected, self-motivated compliance and alternative investments professional with over 16 years of experience in brokerage and wealth management. I have led principal reviews and approvals for alternative investments, produced regulatory marketing oversight, designed tracking tools and reports, and conducted operational due diligence across hundreds of product sponsors to reduce firm risk.

I also serve as an adjunct professor, delivering finance and risk management courses and earning top student evaluations, and I have managed teams and process improvements at large firms. I hold multiple securities licenses, advanced degrees in finance and compliance, and I continually develop workflows, forms, and reporting to improve compliance, oversight, and advisor-facing processes.

Experience

Work history, roles, and key accomplishments

Current

Alternative Investments Principal

Current

Realta Wealth

Dec 2024 - Present (1 year 2 months)

Provide principal review and approval of alternative investments (REITs, 1031s, DSTs) and marketing materials, identify suspicious practices, conduct investigations, and implement corrective actions in collaboration with compliance.

Alternative Investments Due Diligence Compliance Review Risk Assessment Sycamore Cross Functional Collaboration

Current

Adjunct Professor

Current

Southern New Hampshire University

Mar 2017 - Present (8 years 11 months)

Taught finance, economics, and risk management courses to ~460 students across 17 courses, delivered high-quality instruction and student support with strong evaluations and ongoing availability via email, phone, and video.

Instruction Curriculum Development Finance Risk Management Student Evaluation Communication Academic Advising

Market Review Group Principal

Deutsche Bank International Private Bank

Oct 2021 - Dec 2024 (3 years 2 months)

Reviewed and provided regulatory guidance on marketing materials and communications across wealth management products, developed policies and procedures, and oversaw compliance with FINRA/SEC/GIPS guidelines.

Regulatory Compliance FINRA SEC Policy Development Wealth Management

Operational Due Diligence Officer

Commonwealth Financial Network

Jul 2017 - Oct 2021 (4 years 3 months)

Conducted operational due diligence on ~160+ sponsors and vendors annually, performed onsite reviews, uncovered regulatory and breach issues, and created procedures and flowcharts to streamline due diligence processes.

Due Diligence Vendor Management Risk Assessment Policy Creation

Senior Trade Review Principal

Commonwealth Financial Network

Sep 2011 - Jul 2017 (5 years 10 months)

Conducted suitability reviews and approvals for annuities, mutual funds, and non-traded alternative investments, analyzed sales trends for 1,500+ advisors, and helped implement reporting and operational processes to mitigate regulatory risk.

Suitability Review Alternative Investments & Compliance Reporting Advisory Operations Process Improvement Trade Review

Investment Center Team Manager

Merrill Lynch

Jul 2006 - Sep 2011 (5 years 2 months)

Managed a team of 15 licensed associates, handled escalated client issues, supported new hire onboarding and training, and resolved complex market and regulatory inquiries for self-directed investors.