Panel Moderator / Global Chief Compliance Officer
- Company:Morningstar, Inc.
- Short Bio:James “Jim” Downing is the Global Chief Compliance Officer of Morningstar Inc. Jim has 20+ years of experience in Compliance in the broker dealer and investment advisory industry. Jim was previously the Global Chief Compliance Officer of Aon Retirement Solutions, Chief Compliance Officer for BMO Wealth Management and an Executive Director at JP Morgan Chase where he was the head of the wealth management compliance program. Prior to Aon, Jim held other Compliance roles and was also a FINRA examiner from the Chicago District Office for 5 years. Jim has his Juris Doctorate with honors from Taft Law School and a Master of Accounting with honors from Roosevelt University. Jim has his series 7, 24, 27, 53, and 66 from FINRA. Jim actively participates on several NSCP committees.
May 11, 2021, 14:00
Regulatory Interchange Webinar featuring the SEC
- April 20, 2020, 11:10