Jim McHale

About

Jim McHale is the chief compliance officer of Wells Fargo Advisors, LLC. In this role, Jim leads the compliance function for Wells Fargo's retail brokerage business, including responsibility for retail compliance, products and regulatory compliance, regulatory affairs, internal controls, compliance implementation teams and anti-money laundering compliance. Jim sits on the Wells Fargo Advisors Operating Committee. Jim joined Wells Fargo Advisors in October 2014. Previously, he was the global head of brokerage compliance for E*TRADE Financial Corporation, where, among other responsibilities, he helped design and implement an enterprise compliance program consistent with the expectations of the federal banking regulators. Prior to E*TRADE, Jim served as managing director and associate general counsel with the Securities Industry and Financial Markets Association (SIFMA), where he led advocacy efforts on proposed rules and regulations issued by the SEC, CFTC and FINRA, including several D

Investment Focus

Location

Saint Louis, US