James Lamke has more than 30 years of experience within the global Institutional sectors of the financial services industry. He has served as a Co-Chief Compliance Officer and Director of Global Trading Compliance at several global institutional services firms, focusing on regulatory and compliance programs for them. He has designed, developed and implemented surveillance technologies for many of the firms’ activities, including Sales and Trading, Research, Capital Markets and Operations. His focus on regulatory reporting for OATS, Blue Sheets, LOPR, CAT, and short-interest reporting, to name a few, enables Jim to provide consultative expertise to firms looking for Regulatory guidance and enhancements.
In earlier roles, Jim held senior front- and back-office positions, including Director of Operations and Chief Operating Officer. Jim has spent a large portion of his career responsible for surveillance technologies relating to equities, derivatives, programs, algorithms and fixed income sales and trading.
Earlier in his career, Jim was with the NASD (predecessor to FINRA) as an Analyst, and then an Investigator in Market Regulation.
He earned a Bachelor of Science in Finance at the University of Maryland, and an M.S. in Business, with a concentration in Finance, at Johns Hopkins University.
Jim holds his Series 4, 6, 7, 8, 14, 14a, 24, 55 and 63 securities industry licenses. He also holds designations in the UK and Canada.