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, KSSkills
- 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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