Jim McHale

EVP and Chief Compliance Officer, LPL Financial

Jim McHale is executive vice president and chief compliance officer for LPL Financial. He is responsible for designing and maintaining LPL’s regulatory compliance program, helping the business manage and mitigate risk, and enhancing the control environment, with a focus on practical, common-sense solutions. Prior to joining LPL in late 2023, Jim served as executive vice president and head of compliance for the Wealth and Investment Management Division of Wells Fargo and CCO for Wells Fargo Advisors. Prior to Wells Fargo, Jim held a number of legal and compliance roles, including in private law practice, in-house counsel, and Associate General Counsel with SIFMA. Early in his career, Jim was Special Counsel in the Division of Trading and Markets at the SEC. Jim holds a J.D. from the University of South Carolina (USC) School of Law and a B.S. from USC’s School of Business Administration.