Brian Smith is an experienced compliance professional with a robust background in the financial services industry. Currently serving as Principal Compliance Advisor at Nuveen since June 2014, Brian has previously held the position of Senior Compliance Manager at BMO Global Asset Management from February 2007 to June 2014, and worked as a Compliance Specialist at Calamos Investments from November 2004 to February 2007. Earlier in Brian's career, a role as a Market Regulation Compliance Examiner at the Financial Industry Regulatory Authority (FINRA) was held from May 2000 to August 2004. Brian Smith completed studies at Illinois State University between 1994 and 1997.
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