James K. Neill

James K. Neill has over 20 years of experience in compliance and regulatory roles. James K. currently works as the Chief Compliance Officer at ASL Capital Markets Inc. Prior to this, they were a Compliance Consultant at Tier One Advisory, where they provided consulting services for bank and broker-dealer compliance and operational risk monitoring programs.

Before that, James held the position of Executive Director at Bank of America Merrill Lynch, where they established and managed compliance testing teams and coordinated with various business groups to ensure appropriate testing coverage. James K. also worked as an Executive Director at JPMorgan Chase & Co., where they managed a team executing compliance testing programs for the Corporate and Investment Bank.

Earlier in their career, James worked at FINRA as a Staff Supervisor, where they managed a team conducting examinations for high-risk member firms and conducted preventive compliance meetings. James K. also prepared formal cases and conducted interviews for FINRA District 10 New York Enforcement.

Overall, James K. Neill has a strong background in compliance and regulatory roles, with experience in managing testing programs, developing testing plans, and coordinating with various business groups to ensure compliance.

James K. Neill holds a Bachelor's degree in Classics from the University of Notre Dame. James K. also obtained a Master's degree in International Management from the University of St. Thomas. In addition, they hold certifications in Series 7 & 24 from FINRA, which were obtained in 2022.