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Jim Fago, CFP, CAMS, PMP

Jim Fago, CFP, CAMS, PMP

Business Unit Risk and Controls Manager at TIAA

Charlotte Metro

Experienced FINRA licensed supervisory principal, and FINRA Arbitrator in the financial services/compliance industry with designations such as CFP, CAMS, PMP, CLU, and ChFC.

My experience in supervising principals includes the risk review of electronic communications, trade review, complaints, OSJ manager supervision, and exception metrics reports. Broker dealer representation for arbitrations, trials and depositions to mitigate risk and damage which successfully resulted in the favor of the broker dealer. Accomplished 30(b)(6) witness. Responsible for reviewing all individual distribution related litigation and investigation activity. Project managed the centralization of various supervisory functions at multiple broker dealers with the result of reducing expenses and improving quality of review.

Speaker at Industry and Company events, including the FINRA National Conference, and SIFMA meetings.

Graduate of Excelsior College, and Wake Forest University.

FINRA Series 6, 7, 9, 10, 24, and 63. CFA Level II Candidate.


Experience:

  • Head of Field Controls (MetLife)
  • Business Unit Risk and Controls Manager (TIAA)
  • Head of Supervisory Controls (MassMutual Financial Group)

Skills:

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