CCO

• Apr 2019 - Present

Senior Compliance Manager

• Apr 2018 - Apr 2019

Chief Compliance Officer

• Aug 2012 - Jul 2018

Avondale Partners is a full-service Broker Dealer and Registered Investor Adviser. Jim has been involved in all aspects of the firm’s business including Investment Banking, Institutional Trading, Equity Research, an affiliate Hedge Fund and the Private Client Group that serves individuals and families, as well as, retirement plan sponsors. As a small privately held company Avondale has provided Jim the opportunity to wear multiple hats to enhance the customer experience including: serving on the investment committee to evaluate private placements and other alternative investments, acting as a research supervisory analyst, developing workflows to streamline processes, vendor management including multiple custodians, manage portfolio performance software, work with IT staff to enhance cyber-security and many other functions.

Investment Operations Manager and Chief Compliance Officer

• May 2011 - Jul 2012

Keel Point is an advisory firm that provides investment advisory, wealth and philanthropic planning and family office services. Manage investment operations including trading and billing functions, performance reporting system, as well as, brokerage and private banking relationships. Responsible for disclosing risks and conflicts of interest to “conflicts board” established by owners of the firm. Ensure Keel Point private funds comply with Blue Sky and SEC requirements. Review alternative investments offerings, test due diligence process and serve on the investment team. Serve as branch manager for unaffiliated broker dealer. Review advertising and sales literature, and regulatory filings.

Chief Compliance Officer

• Mar 2008 - May 2011

Responsible for developing the Compliance Department of TrustCore Financial, an SEC Registered Investment Advisor, FINRA member Broker Dealer and Insurance Agency. Develop and maintain Written Supervisory Procedures. Responsible for AML, BSA, and BCP policies as well as updating and maintaining Web CRD and IARD. Acts as liaison between TrustCore and the SEC, FINRA and other regulatory bodies. Develop training program for Planners and staff concerning new and existing regulations.

Vice President / Specialist

• Feb 1997 - Mar 2007

Responsibilities included trading as principal and agent (up to $100,000,000.00 of capital daily), market making, corresponding with the leaders of the fortune 500 companies represented by Banc of America on the floor of the NYSE. Responsibilities included trading as principal and agent (up to $100,000,000.00 of capital daily), market making, corresponding with the leaders of the fortune 500 companies represented by Banc of America on the floor of the NYSE.

Fed Funds Broker

• Jan 1995 - Aug 1996

Developed and maintained relationships with national, international and regional banks enabling them to borrow and lend billions of dollars in short term loans with other banking institutions. Developed and maintained relationships with national, international and regional banks enabling them to borrow and lend billions of dollars in short term loans with other banking institutions.