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Jeff Groves

Senior Director

BS, California State University

With more than 30 years of industry experience, including positions as Chief Compliance Officer and Chief Administrative Officer and partner of an investment advisor and broker-dealer, Jeff provides a deep knowledge base clients and prospective clients have come to depend on.  Jeff consults broker-dealers, investment advisers, hedge funds, and private equity firms on various issues regarding SEC and FINRA regulation on topics such as the preparation for regulatory audits and other compliance-specific tasks. Jeff also consults on business issues as they relate to compliance. Jeff has achieved a FINRA/Wharton certification as a Certified Regulatory and Compliance Professional (CRCP).

Prior to joining Foreside, Jeff launched a compliance consulting firm, ComplianceWorks in 2007 and previously as a lead consultant with ComplianceMAX Financial, a large compliance technology firm in San Diego, CA. Jeff was a partner with Helix Investment Partners LLC and Helix Trading LLC, a dually registered investment adviser (hedge fund) and a broker-dealer. In addition to being CCO and CAO of Helix, he was in charge of the production and sale of a corporate bond research product and also traded equities. He holds the Series 24, 4, 7, 55, 63, and 65 designations.

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