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As chief compliance officer for First National Investment Banking, James is responsible for regulatory oversight of the firm's investment bankers, their activities and adherence to related policies and procedures. Prior to joining First National, James was senior vice president of compliance for Citigroup Global Markets in New York and chief compliance officer and anti-money laundering officer for Citigroup Capital Strategies, the firm's middle market M&A group. Prior to joining Citigroup, James was vice president of compliance and led the international compliance team at Charles Schwab & Co. in San Francisco. Previously, he was director of sales compliance for the executive financial services division of Hambrecht & Quist, San Francisco, and served with the international division of Prudential Securities in New York as field and operations liaison for the president. James began his career at Merrill Lynch in New York, where he graduated from broker training, was an account executive with institutional futures and subsequently co-managed the sugar trading desk. James earned his B.S. in finance and economics from Fairleigh Dickinson University in Madison, N.J., and studied at Wroxton College in Oxford. James is a Series 3, 7, 8 and 63 registered securities representative, a Series 65 investment advisor representative, as well as a Series 24 registered principal. |
