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About James Downing
James is a Chief Compliance Officer and trusted advisor to executive teams, providing practical applications of regulation to businesses to help ensure business objectives are met. He has experience with FINRA, the 1940 Investment Advisers Act, the Investment Company Act in the U.S., as well as extensive international compliance experience. He has worked across both retail and institutional sectors, building compliance programs that meet the letter of the law while aligning with regulators’ and executives’ expectations.



