Chief Compliance Officer
ETF Series Solutions
James’s main role is serving as Chief Compliance Officer for the ETF Series Solutions trust. James is responsible for reviewing adviser and sub-adviser compliance programs for adequacy and effectiveness in regards to the 40 Act, specific trust policies, conditions of ETF exemptive orders and general compliance with federal security regulations. James has experience conducting on-site due diligence visits, including interviewing adviser CCOs, CIOs, and traders, among other key personnel. These visits also include testing of the adviser’s program (such as reviewing portfolio management compliance, best execution reports, personal security transaction reports, marketing records, etc.). James is responsible for preparing various Board reports including quarterly CCO compliance updates and the Rule 38a-1 annual review. James previously served in a CCO support role and has experience overseeing dozens of investment adviser and sub-adviser compliance programs for both ETFs and open end mutual funds. James was also previously responsible for the testing and oversight of the U.S. Bancorp Fund Services Transfer Agent Compliance Program.