Joshua Jones
Education
MBA, Auburn University
MS, Auburn University
BS, University of Alabama
Professional Affiliations & Certifications
Certificate in Management Information Systems, Auburn University
Certified Securities Compliance Professional (Certification by NSCP)
Investment Adviser Certified Compliance Professional (IACCP®)
Recent Speaking Engagements
Compliance Seminar for Private Fund Managers, NSCP, April 22, 2025 (New York, NY)
“Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts,” COMPLY Investment Adviser Core Program Symposium, February 5, 2025 (Virtual)
Joshua Jones, IACCP®, CSCP serves as Senior Compliance Consultant at Core Compliance & Legal Services, Inc. (“Core Compliance”). Mr. Jones brings over a decade of experience in regulatory compliance and enterprise risk management. With a strong background in financial services and institutional asset management, Mr. Jones provides strategic guidance and risk mitigation strategies to our clients, helping them to navigate complex regulatory environments and strengthen their internal compliance controls.
Throughout his career, Mr. Jones has successfully led the design and enhancement of comprehensive compliance programs tailored to the unique needs of investment advisers. This includes developing compliance programs, performing Annual Reviews, overseeing regulatory exams and providing comprehensive training to the enterprise. His collaborative approach and ability to lead high-performing teams have made him an essential partner to firms undergoing regulatory change, growth, or operational transformation.
Before joining Core Compliance, Mr. Jones served as the Chief Compliance Officer at Vulcan Value Partners, a $7 billion institutional asset manager. There, he directed the firm’s Compliance and Enterprise Risk programs and played a pivotal role in integrating a new affiliate into the firm’s existing compliance structure. Mr. Jones also held prior roles as Compliance Officer at Vulcan and Compliance Analyst at Los Angeles Capital Management, where he worked across global products including UCITS and private vehicles. Earlier in his career, Mr. Jones held compliance and internal audit roles at Regions Bank and BBVA Compass, where he led branch exams, risk-based incentive compensation reviews, and integrated IT audits.
Mr. Jones holds dual Master’s degrees in Business Administration and Finance from Auburn University, as well as a Certificate in Management Information Systems. His well-rounded expertise in compliance strategy, technology integration, and risk governance adds immense value to our clients and the Core Compliance team.
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