James ReillySenior Advisor - Regulatory & Compliance - Institutional Equities

James Reilly is a senior compliance executive with over 30 years of experience in the securities industry.  He has extensive experience focusing on the institutional equities markets’ regulatory and compliance programs. With a history of working as a Chief Compliance Officer at some of the leading Wall Street firms, he is a highly-seasoned professional, experienced in all facets of compliance, with noted expertise in compliance and regulatory oversight for market-making and origination for equities offerings.

In earlier roles, he held Chief Compliance Officer positions in firms including TD Ameridtrade, TIAA-CREF, and PaineWebber, and was Managing Director, Head of Global Equities Compliance at Goldman Sachs.  Earlier in his career, he worked in Compliance at First Union Capital Markets Corp., Salomon Smith Barney Corp, and was a Special Investigator at the NASD (now FINRA).

Mr. Reilly’s expertise in the equity IPO processes, including application of Reg. M, Rule 144 and Rule 204, along with other rules and regulations pertinent to research and trading, Prime Brokerage and Securities Lending, Institutional Sales, AML and FCPA compliance enables him to consult and testify as an Expert Witness in all of these areas.

He has a BS in finance from the University of Maryland.

Mr. Reilly previously held his Series 3, 4, 7, 8, 14, 24, 63, 65 securities industry licenses.

 

 

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