EDUCATION

B.S., University of Wyoming

Series 6, 7, 24, 26, 51 & 63 (inactive)

PROFESSIONAL AFFILIATIONS

Member, National Society of Compliance Professionals (NSCP)

Co-President, Parent/Teacher Organization (PTO)

Chairman, Heritage School Accountability Committee

James L. Smith serves as a Sr. Compliance Consultant with Core Compliance & Legal Services, Inc.^SM (“Core Compliance”), a compliance consultation firm which services broker-dealers, registered investment advisers, investment companies and other financial professionals.  His background in the creation and oversight of effective compliance programs is an asset to Core Compliance as he brings extensive experience in assessing federal, state and local regulatory requirements to understand the impact on a firm’s business.

Mr. Smith specializes in broker-dealer, investment adviser, investment company, and anti-money laundering regulatory compliance. His consultation services are focused on the areas of regulatory exams, gap analysis, surveillance efforts, Written Supervisory Procedures development, compliance and risk training programs, performance marketing and advertising, compliance testing and mentoring of compliance professionals.

Most recently, Mr. Smith served as a member of the risk and compliance team at Charles Schwab, where he focused on implementation of an enterprise-level compliance program and related controls. He also assisted with the development of a firm-wide training program with multiple modules including operational risk, corporate compliance, broker-dealer, financial crimes and information security, training over 20,000 employees. Additionally, Mr. Smith assisted in the development and execution of a firm-wide compliance risk management program pursuant to Federal Reserve Supervisory Letter SR 08-8/CA 08-8, redesigned compliance manuals and assisted with the redesign of a third-party vendor due-diligence compliance program. Prior to Charles Schwab, Mr. Smith was the former Chief Compliance Officer(“CCO”) for RS Investment Management Co. LLC and the RS family of mutual funds, where he oversaw the compliance and anti-money laundering programs of the investment adviser and investment companies. Before that, he served as Director of Distribution and Broker-Dealer CCO for BlackRock, Inc.

Mr. Smith has held various securities licenses including Series 6, 7, 24, 26, 51 and 63 and is a current member of the National Society of Compliance Professionals (NSCP).  Mr. Smith has also been a presenter at industry conferences, including IA Watch and he is active in his community, serving as Co-President of his children’s Parent/Teacher organization (PTO) and current Chairman of the his local School Accountability Committee (SAC).