Jim McHale has joined LPL Financial as executive vice president and chief compliance officer.
McHale will lead LPL’s compliance organization, helping to drive a strong risk management culture in an ever-evolving regulatory environment.
McHale is responsible for designing and maintaining LPL’s regulatory compliance program, helping the business manage and mitigate risk, and enhancing the control environment, with a focus on practical, common-sense solutions.
McHale joins LPL from Wells Fargo, where he most recently served as executive vice president and head of compliance for the wealth and investment management division. He has held various legal and compliance roles over the course of his career, including as global head of brokerage compliance at E*TRADE Financial Corporation, managing director and associate general counsel at SIFMA and serving on staff of the SEC’s Division of Trading and Markets.
