James Smith Email & Phone Number
Director, Senior Consultant @ Renaissance Regulatory Services
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James Smith Location
- Orlando, FL, US
James Smith Work
- Director, Senior Consultant @ (April 2026 - Present)
- Owner and Consultant @ 3K Regulatory Consulting (February 2024 - Present)
- Senior Compliance Consultant @ (July 2023 - February 2024)
- Principal Consultant @ (April 2021 - May 2023)
- Senior Compliance Consultant @ (April 2019 - April 2021)
- Managing Director @ (December 2014 - February 2019)
- Chief Compliance Officer @ (July 2013 - October 2014)
- Director, Chief Compliance Officer - BlackRock Investments, LLC @ (December 2009 - July 2013)
- Head of Channel Compliance @ (November 2007 - December 2009)
- Director, Sales Governance and Administration @ (July 2006 - November 2007)
- Vice President, Chief Compliance Officer @ (November 2003 - July 2006)
- Vice President, Chief Compliance Officer @ (November 2003 - July 2006)
- Director, Regulatory and Compliance @ Investors Bank & Trust (January 2001 - January 2003)
- Executive Director, Investment Management, Administration and Compliance @ (January 1999 - January 2001)
- Registration and Compliance Officer @ (January 1996 - January 1999)
- Compliance Officer @ ALPS Mutual Funds (January 1991 - January 1995)
James Smith Education
- University of Wyoming
Bachelor of Science (B.S.)
1981-1984 - Casper College
Associates
1978-1980
James Smith Skills
- Mutual Funds
- Due Diligence
- Hedge Funds
- Corporate Governance
- Investments
- Portfolio Management
- Private Equity
- Investment Advisory
- Alternative Investments
- ETFs
- FINRA
- Financial Services
- AML
- Trading
- Equities
- Series 7
- Investment Management
- Securities
- Anti Money Laundering
- Series 24
James Smith Summary
- James Smith, based in Orlando, FL, US, is currently a Director, Senior Consultant at Renaissance Regulatory Services. James Smith brings experience from previous roles at 3K Regulatory Consulting, ACA Group, Aspect Advisors and Core Compliance & Legal Services, Inc.. James Smith holds a 1981 - 1984 Bachelor of Science (B.S.) @ University of Wyoming. With a robust skill set that includes Mutual Funds, Due Diligence, Hedge Funds, Corporate Governance, Investments and more. James Smith has 1 emails and 1 mobile phone numbers on RocketReach.
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