Meet The Team

 

We’re Fun, Social & Business Savvy.

James Velsor 

Principal Examiner
Exemplar Consulting, LLC

Linkedin Email Phone
WHAT I LOVE ABOUT EXEMPLAR
 

I love working with a diverse team of professionals that is able to offer a full-range of services for growing businesses. Our collaborative approach allows us to make a difference.

 

  • Background in regulatory compliance and has conducted and supervised compliance monitoring program engagements for AML, trading and sales, lending, compliance management, mutual funds, communications with the public, and privacy.
  • Internal auditing, compliance and operations professional supporting banks, broker dealers and investment advisors.
  • Extensive knowledge of both domestic and international financial institutions having services commercial, international, and investment banks.
  • Developing audit programs, risk assessments, audit plans and conducting audits of broker dealers, banks, and investment advisers.
  • Prepared policies and procedures for financial services clients as well as developing and executing Sarbanes Oxley (SOX) planning, documentation and reporting.
  • Previously qualified with the FINRA Series 4, 7, 14, 9/10, 24, 27, 53, 55 and 63 registrations. 

 

 

CREDENTIALS

   

Bachelor’s in Business Administration-Accounting, 

Hofstra University

 
MORE TEAM MEMBERS