James Landry

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James Landry's Location
Austin, Texas, United States, United States
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n/a
About James Landry

James Landry is a professional in their field.

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James Landry Work Experience Details
  • Charles Schwab
    Manager, Supervision & Controls
    Charles Schwab Apr 2020 - Jan 2024
    Provided supervision and control guidance to the first line business units via ongoing risk meetings and proactive review of RCSAs. Maintained and provided guidance for business unit KRI data capture. Oversaw the Supervision and Control record retention certification. Provided additional support for the Supervision and Control business continuity program.
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  • Capital One Investing
    Compliance Advisory Manager
    Capital One Investing Mar 2016 - Aug 2019
    Supervise the firm’s complaint handling process, complaint data capture and Rule 4530 complaint reporting to FINRA. Respond to regulatory requests.• Provide complaint trend analysis to executive leadership.• Deliver compliance training and guidance to firm employees.• Coordinate and developed complaint procedures for Capital One Bank beyond Capital One Investing’s BDW/BDA from the broker-dealer industry.
  • First Hawaiian Bank
    Compliance Coordinator
    First Hawaiian Bank Mar 2015 - Jul 2015
    Honolulu, Hi
    Oversaw branch submission of and process the completion of Regulation E Claims, limiting the bank’s exposure to Regulation E violations. • Controlled branch submission of and processed new certifications and re-certifications of Non-Resident Aliens; trained branch employees on Regulation E and Non-Resident Alien status.• Maintained internal database on all Regulation E claims.
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  • Nfp Retirement Division
    Transition Coordinator
    Nfp Retirement Division Oct 2013 - Jun 2014
    Austin, Texas Area
    Worked closely with new firms to ensure transition to NFP was seamless with high customer satisfaction.• Educated firms on policies and procedures with NFP; certified that the firm met compliance regulations. • Confirmed all registration documents were completed accurately; supervised processing teams to guarantee all new accounts were processed accurately.
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  • Charles Schwab
    Senior Broker
    Charles Schwab Apr 2011 - Jun 2013
    Austin, Texas Area
    Maximized a strong understanding of the markets, while delivering services to clients. Assessed and resolved client questions and concerns, helping customers navigate Schwab’s investment products and services. Placed trades and uncovered business development opportunities. • Performed in top 10% nationally in both sales conversions and customer satisfaction scores.
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James Landry Education Details

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What is James Landry's email address?

James Landry's email address is ja****@****one.com

What schools did James Landry attend?

James Landry attended The University Of Texas At Austin, The University Of Texas At Austin, Austin Community College.

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