Prior to joining Kroll, James served as an independent consultant performing mock SEC audits and providing execution support for clients’ compliance programs. Since 2014, he has focused on supporting advisers sponsoring credit-related strategies, including direct lending and leveraged finance trading desks in both loan and securities markets. As an independent consultant, James has also served as Outsourced CCO for an offshore broker-dealer with a de novo U.S. registration and for a venture capital firm managing $1 billion in AUM.
James has also held in-house COO and CCO positions for advisers sponsoring venture capital, direct lending, equity and credit arb and structured products (such as Collateralized Loan Obligation). His expertise spans tradable credit and desks specializing in money markets, municipals, mortgage debt, emerging markets, high yield, sovereign debt and fundamental long-short equity strategies. These roles have been with firms ranging from $1 billion to $25 billion in AUM. Additionally, James has served as an expert witness in litigated matters related to fiduciary duties and compensation disputes, including a case involving $20 million in compensation paid to an investment advisery representative under an outside business activity.
James began his career at the SEC’s New York Regional Office in 1990 and since departing the SEC in 1994, he has successfully managed numerous routine regulatory exams conducted by the SEC, FINRA and the Boston Federal Reserve.
James holds a B.S. in finance from Indiana University and is registered with FINRA for Series 7, 24 and 99.
