James Smith

Senior Consultant & Director

James L. Smith (“Jim”) is a Senior Consultant and Director with Renaissance Regulatory Services (“RRS”). Jim brings over 35 years of experience in the financial services industry, working with a variety of firms, including both SEC and state registered investment advisers, exempt reporting advisers, private equity and private fund of funds, broker-dealers, ETFs, registered investment companies, cryptocurrency firms. Jim also has experience working on enterprise-level compliance and training programs.

Compliance Experience

Jim has a proven history in the creation and oversight of effective compliance programs and brings significant experience in assessing federal, state, and local regulatory requirements to understand the impact of these requirements on a firm’s business and products. At RRS, Jim is focused on the areas of outsourced chief compliance officer, investment advisory, broker dealer and private fund management including registration, regulatory exams, annual reviews, policies and procedures, compliance and risk training programs, performance marketing and advertising, testing programs, as well as training and mentoring compliance professionals.

Regulatory Expertise

Jim brings an action-oriented team approach to issue identification and resolution, including detailed planning, communication, and organizational abilities. He has focused on incorporating compliance into the ever-changing business models for his clients. His expertise includes experience with SEC, FINRA, AML and state rules and regulations, SEC and state-level regulatory exam management as well as experience as a member of and working with board members, auditors, sub-advisers, and various third-party service providers.

Professional Affiliations and Education

Jim holds a bachelor’s degree from the University of Wyoming. He also has held various securities licenses including Series 6, 7, 24, 26, 51 and 63 and is a current member of the National Society of Compliance Professionals (“NSCP”). Jim has also been a presenter at industry conferences, and he has volunteered within the community.