Jim McHale

As Head of Compliance for Wells Fargo’s Wealth & Investment Management Division (WIM), Jim is responsible for establishing and overseeing execution of the enterprise-wide compliance program for WIM and serving as Chief Compliance Officer for Wells Fargo Advisors.

Prior to joining Wells Fargo in late 2014, Jim 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, and was a member of the SIFMA working group responsible for preparing SIFMA’s White Paper: “The Evolving Role of Compliance” (March 2013).  Early in his career, Jim was Special Counsel in the Division of Trading and Markets at the U.S. Securities and Exchange Commission.

Jim holds a J.D. from the University of South Carolina School of Law and a bachelor’s degree from the University of South Carolina School of Business Administration. He is a frequent speaker on regulatory compliance topics impacting the securities industry.