At True West Consulting, we pride ourselves on having a team of seasoned professionals dedicated to providing top-notch compliance services. Today, we're excited to introduce Jim Smith, a consultant with over 35 years of experience in the financial services industry.
Jim Smith brings a wealth of experience to True West Consulting, boasting over 35 years in the financial services industry. His extensive background includes both investment adviser and broker-dealer (FINRA) roles, giving him a comprehensive understanding of the sector. Jim's expertise spans a variety of financial products, including separately managed accounts, private funds, exchange-traded funds (ETFs), and mutual funds.
Throughout his career, Jim has had the opportunity to work at both large and small firms. This diverse experience has equipped him with a unique perspective on the challenges and opportunities within different organizational structures. He has held significant positions such as Chief Compliance Officer (CCO) for investment advisers and broker-dealers, where he developed and implemented robust compliance programs.
Jim's extensive experience working with regulators is a testament to his expertise. He has successfully managed numerous SEC examinations, showcasing his adeptness at navigating complex regulatory landscapes. His deep industry knowledge and regulatory experience make him a valuable asset to our team, ensuring our clients receive expert guidance and support in maintaining compliance and achieving their business goals.