James Haynes

James Haynes is an experienced compliance professional specializing in marketing review and regulatory compliance within the financial services industry. Currently serving as the Director of Compliance at Wealth Enhancement Group, James oversees all advertising and supervises third-party solicitor relationships. Prior roles include Senior Compliance Officer for Marketing Review at BMO Wealth Management - U.S., where oversight of advertising was similarly prioritized, and Advertising Compliance Analyst at Kestra Financial, focusing on tailored compliance solutions for marketing initiatives. With a background in developing compliance programs and auditing from positions at Ivy Investments and Waddell & Reed, James brings extensive expertise to the field. Academic credentials include a Juris Doctorate from Indiana University Maurer School of Law and a Bachelor of Science in Business Administration with a focus on Finance from the University of Nebraska-Lincoln, along with studies at the University of Oxford.