James Smith

Jim Smith is a Compliance Leader with a wealth of experience in designing and implementing compliance programs within the investment management, investment advisory, and broker-dealer sectors, currently exploring new career opportunities. He possesses exceptional analytical, problem-solving, and managerial skills, and demonstrates a proactive approach in identifying and resolving issues effectively. Jim is known for his meticulous planning, clear communication, and strong organizational capabilities.

Jim's expertise encompasses a deep understanding of regulatory frameworks, with particular emphasis on SEC, IRS, FINRA, and MSRB rules and regulations, including navigating through regulatory examinations with ease. He serves as a primary point of contact for board members, auditors, advisors, and a multitude of service providers, showcasing his ability to build and maintain strong professional relationships.

In terms of qualifications, Jim holds several securities licenses such as Series 6, 7, 24, 26, 51, and 63, underlining his comprehensive knowledge within the financial services industry. His educational background includes studying for an Associate's degree at Casper College and earning a Bachelor of Science (B.S.) degree from the University of Wyoming.

Currently, Jim Smith serves as the Principal Consultant at AspectAdvisors, where he applies his extensive experience and skills to provide valuable insights and solutions in the compliance domain.