Chief Compliance Officer
Jim’s primary responsibilities include the management and oversight of all reporting, operations, and compliance. He is also a significant contributor to the trading and investment management team. Jim integrates investment strategies into an operations environment and ensures the successful implementation of the Swan Defined Risk Strategy across the functions of marketing, trade management, reporting, and compliance. He has developed very strong analytical, technical, management, and investment skills, having previously consulted with Ernst & Young, AT&T, Verizon, and Texas Instruments.
Jim has over 25 years of continuous investment experience. He has actively managed private monetary funds for 15 years using stocks, options, and futures. He is a registered investment advisor and has worked with Morgan Stanley, Qualitas Wealth Advisors, and J Engelken and Associates. He is a skilled professional speaker and enjoys presenting at investment conferences and for various investment groups.
Jim has a B.A. in finance and computer science from Loras College, and an M.B.A. from the University of Phoenix.
Jim, his wife, and two children love the outdoors and traveling. He volunteers with various nonprofit organizations including the Boy Scouts, Girl Scouts, local schools, and the aerospace team.