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James ReillySenior Advisor - Regulatory & Compliance

James Reilly is a senior compliance executive with over 30 years of experience in the securities industry.  He has extensive knowledge focusing on regulatory and compliance programs at large institutions.  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.

Jim has technical expertise in SEC, CFTC, FINRA, and NFA regulations and their application.

In previous roles, he held Chief Compliance Officer positions in firms including TD Ameritrade, 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).

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

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

 

 

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