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@assetmark.com
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2 phones found area 800 and 402
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James V. (Jim) Collins, Cams is listed as Investment Advisory Compliance at AssetMark, Inc. at AssetMark, based in Louisville Metropolitan Area, United States, United States. AeroLeads shows a work email signal at assetmark.com, phone signal with area code 800, 402, and a matched LinkedIn profile for James V. (Jim) Collins, Cams.
James V. (Jim) Collins, Cams previously worked as Marketing and Product Compliance Officer at Assetmark and Director, Compliance at Charles Schwab. James V. (Jim) Collins, Cams holds Bachelor Of Science (B.S.), Finance / Economics from Fairleigh Dickinson University Silberman College Of Business.
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AeroLeads found 1 current-domain work email signal for James V. (Jim) Collins, Cams. Compare company email patterns before reaching out.
Compliance Officer and Risk Management Executive with extensive industry experience and established record of achieving superior results at major financial services firms. Team leader who has led the design and implementation of internal controls and risk management processes to mitigate organizational risk, improve operational results and enable best practices. Subject matter expert in cross border oversight with extensive knowledge of complex products and services, their regulatory requirements and jurisdictional issues. Seasoned Manager skilled at supervising, mentoring and coaching teams of compliance professionals responsible for oversight of regulated financial services businesses. Demonstrated strengths include collaborating with and providing guidance to Senior Management in order to ensure adherence to internal policies, procedures and regulatory requirements. Effective in forging successful business partnerships to deliver innovative strategic solutions to execute business initiatives. Experienced manager of regulatory relationships including the Federal Reserve, CFPB, OCC, SEC, FINRA and States. Panelist at 2018 SIFMA and 2020 NSCP Conferences on International Risk. Industry licenses: Series 3, 7, 8, 24, 63 and 65. Certifications: CAMS.E-mail: jvmcollins@gmail.comPhone: 347-677-3602 (Cell)Willing to travel / Willing to relocate.
Listed skills include Risk Management, Financial Risk, Capital Markets, Financial Services, and 41 others.
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A career timeline built from the work history available for this profile.
Concord, California, US
Responsible for oversight of marketing communications and sales compliance functions for advertising, social media, digital and proprietary and third-party marketing. Provide guidance on compliance and regulatory risk associated with new product initiatives, product enhancements and strategic projects. Consult with advertising review teams to ensure client.
Westlake, Texas, US
Guided and supported the International businesses of Charles Schwab & Co., Inc. Provided jurisdictional advice as subject matter expert on cross border business initiatives and foreign regulatory issues. Designed and implemented internal controls and risk management processes to mitigate risk, improve operational results and enable best practices..
Supervised a team of compliance professionals with oversight and risk management responsibilities for 90 Broker-Dealers, Investment Advisors and Municipal Bond firms clearing on a fully disclosed basis. Managed regulatory exams, inquiries and relationships. Analyzed, augmented and revised existing policies and procedures in order to strengthen the.
Omaha, Nebraska, US
Chief Compliance Officer / Anti-Money Laundering Compliance Officer. Supervised a team of compliance professionals responsible for oversight of the bank’s Investment and Wealth Management businesses, including Capital Markets, Public Finance, Retail and Investment Advisory, Private Banking, Asset Management and Private Equity.
New York, New York, US
Director of Broker-Dealer Testing for CIB Compliance at Citigroup Global Markets, Inc. Supervised a team of compliance professionals responsible for quarterly testing of the firm’s adherence to Internal Policies, SEC, NYSE and FINRA rules and regulations.
Westlake, Texas, US
Supervised a team of compliance professionals, providing support and guidance to the firm’s International businesses. Addressed foreign regulatory issues and advised business units on major firm-wide business development projects. Interfaced with global regulators to coordinate audit visits, facilitate information requests, and maintain working.
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Jeremy Usedom
Colleague at Assetmark
Martinez, California, United States, United States
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Matt Irvine
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Coalport, Pennsylvania, United States, United States
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Sal Ukani
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Greater Chicago Area, United States
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Arya G.
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San Francisco Bay Area, United States, United States
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Ryan Huddleston
Colleague at Assetmark
Los Angeles, California, United States, United States
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TJ
Taylor J. Hamilton, Cfa
Colleague at Assetmark
Walnut Creek, California, United States, United States
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Darian Dudley
Colleague at Assetmark
Richmond, California, United States, United States
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Dana Smith
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Maricopa, Arizona, United States, United States
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James P. Simon, Jr.
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Boalsburg, Pennsylvania, United States, United States
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Kurtis Reichert
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United States, United States
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Quick answers generated from the profile data available on this page.
James V. (Jim) Collins, Cams works for AssetMark.
James V. (Jim) Collins, Cams is listed as Investment Advisory Compliance at AssetMark, Inc. at AssetMark.
AeroLeads has found 1 work email signal at @assetmark.com for James V. (Jim) Collins, Cams at AssetMark.
AeroLeads has found 2 phone signal(s) with area code 800, 402 for James V. (Jim) Collins, Cams at AssetMark.
James V. (Jim) Collins, Cams is based in Louisville Metropolitan Area, United States, United States while working with AssetMark.
James V. (Jim) Collins, Cams has worked for Assetmark, Charles Schwab, Cor Clearing Llc, First National Bank Of Omaha, and Citigroup.
James V. (Jim) Collins, Cams's colleagues at AssetMark include Jeremy Usedom, Matt Irvine, Sal Ukani, Arya G., and Ryan Huddleston.
You can use AeroLeads to view verified contact signals for James V. (Jim) Collins, Cams at AssetMark, including work email, phone, and LinkedIn data when available.
James V. (Jim) Collins, Cams holds Bachelor Of Science (B.S.), Finance / Economics from Fairleigh Dickinson University Silberman College Of Business.
James V. (Jim) Collins, Cams is listed with skills including Risk Management, Financial Risk, Capital Markets, Financial Services, Anti Money Laundering, Securities, Mergers And Acquisitions, and Investment Advisory.
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