Speakers

James (Jim) Papagiannis

Chief Compliance Officer

  • Company:InCapital
  • Short Bio:Jim J. Papagiannis¬†is the Chief Compliance Officer of Incapital. In this role, he leads the Compliance department, which is responsible for overseeing and directing the regulatory compliance program of Incapital and its affiliates. Prior to joining Incapital, Jim spent 14 years at the Financial Industry Regulatory Authority (FINRA) where he served as Examination Manager in nearly every area of FINRA member regulation including routine cycle firm examinations, targeted cause examinations, financial/operational reviews, and membership applications. During his career at FINRA, Jim examined several hundred securities firms with various lines of business and has a great perspective on a wide range of regulatory issues. Jim holds a B.S. in finance and an MBA in international finance and marketing from DePaul University. Jim also holds the Chartered Financial Analyst (CFA) designation.
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