Walter Jones

Compliance Director 484-588-5520 wjones@cipperman.com

Walter is a member of our compliance group, whose primary responsibilities include the day-to-day management of our clients’ compliance programs. His duties range from the coordination of annual review on-site visits to the management of client communications to ultimately keeping the compliance calendar on track.

Walter has over 15 years of experience in the financial services industry. Prior to joining CCS, Walter served as a Testing Manager for Bank of America Merrill Lynch where he led a team in the execution of compliance and risk testing for the global wealth investment management division. Prior to Bank of America, Walter was a 206(4)-7 Compliance Director at Nationwide Funds Group where he participated in sub-advisory oversight, compliance training, and testing. Prior to Nationwide, he was a Compliance Specialist with T. Rowe Price performing portfolio compliance. Walter was also a Sergeant in the US Marine Corps.

Walter earned a B.S. in Economics from the University of Pennsylvania and an MBA from Temple University. He has also earned the NSCP Certified Securities Compliance Professional designation, and Certified Internal Auditor designation (inactive). Additionally, he has obtained the following FINRA licenses: Series 7 and 24. Currently, Walter is a second-year law student at Mitchell Hamline School of Law.