Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

JON MEIGS

Castle Pines

Summary

Senior Financial Services Executive with regulatory compliance leadership. Proven track record of implementing enterprise-wide compliance frameworks for traditional and emerging financial products. Expert in regulatory oversight, risk management, and scaling operations in highly regulated environments.

Overview

2026
2026
years of professional experience
1
1
Certification

Work History

Senior Supervisory Principal, Regulatory and Supervisory Oversight

TIAA-CREF
2006 - Current
  • Direct supervisory oversight for 500+ licensed agents across annuity, insurance, and brokerage products, maintaining 100% regulatory compliance while reducing compliance risks by 15%
  • Spearheaded development and implementation of comprehensive compliance frameworks for new Fixed Indexed Annuity products, achieving 20% adoption rate within first year
  • Partnered with legal and compliance teams to implement Regulation Best Interest Care Obligation requirements, ensuring firm-wide adherence to evolving regulatory standards
  • Designed and delivered specialized training programs on FINRA, SEC, DOL, and state regulations for 200+ financial advisors, improving compliance expertise by 25%
  • Created standardized job aids and quality control measures, ensuring uniform accuracy across all principal reviews
  • Served as regulatory subject matter expert to IT teams, integrating compliance requirements into sales systems and improving operational efficiency by 10%
  • Orchestrated Centralized Principal Review team operations, achieving 98% adherence to Service Level Agreements through strategic workload optimization
  • Analyzed team productivity metrics and advisor recommendations, providing data-driven insights that improved operational efficiency by 12%
  • Delivered monthly regulatory updates and best practices presentations to five sales teams, supporting compliance across 10,000+ annual transactions

Advice Investment Consultant

CHARLES SCHWAB AND CO., INC.
  • Managed customized portfolio recommendations for high-net-worth accounts up to $5M, conducting 60+ consultations per quarter with 8% average annual returns
  • Applied modern portfolio theory principles to optimize client portfolios and enhance risk-adjusted returns
  • Collaborated with Chicago Analytics to evaluate stock recommendation systems, developing advanced quantitative analysis capabilities
  • Presented strategic recommendations to executive leadership, directly influencing product development decisions
  • Executed complex option trading strategies (calls, puts, spreads, straddles, hedges) with 90+ daily trades and 10% improved accuracy
  • Developed and delivered option trading training programs, enhancing team capabilities across the organization
  • Progressed through trader and management roles, leading teams up to 12 professionals
  • Managed 4,000 high-net-worth households ($1M+ assets) with 35% productivity improvements
  • Achieved 80% promotion rate for mentees and earned Chairman's Club recognition for top national performance

Education

Bachelor of Science - Business Administration, Concentration in Economics

University of Kansas
Lawrence, KS

Skills

  • Regulatory & Compliance Excellence
  • FINRA, SEC, DOL & Multi-State Regulatory Compliance
  • Risk Management & Mitigation Strategies
  • Regulation Best Interest Implementation
  • Cryptocurrency Markets & Trading Systems
  • Crypto-Linked Financial Products
  • Leadership & Operations
  • Team Leadership & Advisor Training (500 professionals)
  • Process Development & Optimization
  • Cross-Functional Collaboration
  • 5 years of active cryptocurrency trading and market analysis experience
  • Deep understanding of Bitcoin, altcoins, and market dynamics from investor perspective
  • Financial Technology
  • Advanced quantitative analysis and risk modeling
  • Financial systems integration and process optimization
  • Data analytics and performance measurement tools

Certification

  • FINRA Series 7, 9, 10, 24, 63 - Comprehensive oversight of complex financial products and compliance, including crypto-linked instruments
  • Colorado Life Insurance License - Annuity and insurance product expertise

Timeline

Senior Supervisory Principal, Regulatory and Supervisory Oversight

TIAA-CREF
2006 - Current

Advice Investment Consultant

CHARLES SCHWAB AND CO., INC.

Bachelor of Science - Business Administration, Concentration in Economics

University of Kansas

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JON MEIGS