James Smith Email & Phone Number
Director, Senior Consultant @ Renaissance Regulatory Services
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James Smith Location
- Orlando, FL, US
James Smith Work
- 2026 -now Director, Senior Consultant @
- 2024 -now Owner and Consultant @ 3K Regulatory Consulting
- 2023 -2024 Senior Compliance Consultant @
- 2021 -2023 Principal Consultant @
- 2019 -2021 Senior Compliance Consultant @
- 2014 -2019 Managing Director @
- 2013 -2014 Chief Compliance Officer @
- 2009 -2013 Director, Chief Compliance Officer - BlackRock Investments, LLC @
- 2007 -2009 Head of Channel Compliance @
- 2006 -2007 Director, Sales Governance and Administration @
- 2003 -2006 Vice President, Chief Compliance Officer @
- 2003 -2006 Vice President, Chief Compliance Officer @
- 2001 -2003 Director, Regulatory and Compliance @ Investors Bank & Trust
- 1999 -2001 Executive Director, Investment Management, Administration and Compliance @
- 1996 -1999 Registration and Compliance Officer @
- 1991 -1995 Compliance Officer @ ALPS Mutual Funds
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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