A Compliance professional with 20 years of experience with Broker Dealers, including trading, research and capital markets. Jim is a hands-on individual who has always sat out on trading floor of the boutique type shops and has been involved in much of the day to day issues and operations. Most recently Jim joined Rialto Trading Network from Liquidnet, an ATS operator for institutional block trading of equities and fixed income products. Jim joined Rialto for the opportunity to work with the exciting new endeavor of trading unregistered digital equities coupled with the firms desire to do so as an SEC/FINRA approved and regulated entity. As Director of Compliance for Rialto, Jim ensures the necessary FINRA/SEC regulatory framework is applied and adhered to while providing oversight and advice to the business.