Jim is an attorney with over 25 years of leadership experience in compliance, audit, risk management, product development, distribution, and strategic planning with broker dealers, investment banks, hedge funds and investment advisers. Jim has extensive experience with regulatory matters including administering 38a-1 and 206(4)(7) compliance programs, compliance training, advertising review, regulatory filings, regulatory examinations, compliance testing, drafting compliance manuals, liquidity risk management and market surveillance.
Since 2002, Jim has served as the Chief Operating Officer/Chief Compliance Officer for THB Asset Management, a registered investment adviser. Jim’s responsibilities entail managing all non-investment aspects of the firm including regulatory compliance, finance, operations, information technology, sales, product development, human resources and relationship management. From March 2001 to April 2002 Jim worked at Ernst & Young LLP as an audit manager. His responsibilities included leading audits and examinations of various financial services companies. From August 1998 to March 2001, Jim was employed by Prudential Securities in their Asset Based Lending Group and from February 1997 to August 1998 he was a market surveillance analyst for the American Stock Exchange. Prior to joining the American Stock Exchange Jim worked at Brown Brothers Harriman & Co. as an associate in the fixed income department.
Jim received a bachelor’s degree in Finance from Loyola University, Maryland. Additionally, Jim received his JD from the Seton Hall University School of Law and an MS in Accounting from the Seton Hall University Stillman School of Business.
Jim focuses his practice on providing regulatory advice and counsel to broker dealers, investment banks, hedge funds and investment advisers.
Loyola University, 1992,
Seton Hall University School of Law, 2001, J.D.
Seton Hall University Stillman School of Business, 2009, M.S.A.C.
United States Bankruptcy Court for the District of New Jersey
United States District Court of New Jersey
Supreme Court of New Jersey
Volunteer Lawyers for Justice