James Rabenstine


Nationwide Financial Services

James Rabenstine joined Nationwide Financial Services and is responsible for overseeing the corporate compliance program of its broker-dealers, investment advisors, insurance and annuity companies, retirement plans businesses, and its bank, Nationwide Trust Company. Mr. Rabenstine also acts as the firm’s AML Compliance Officer. Prior to joining Nationwide, Mr. Rabenstine was Director of Corporate and Investment Banking Compliance for The PNC Financial Services Group, Inc.’s capital markets, brokerage, investment advisory, wealth management, mergers and acquisitions, and insurance businesses. Additionally, Mr. Rabenstine spent several years in the capacity as Chief Compliance Officer for the investment banking and asset management operations of Barclays Bank PLC and Barclays Capital, North America. He started his career on Wall Street with the NASD (aka FINRA) in its New York office and had supervisory oversight over fixed-income broker-dealers whose primary operations were domiciled in the New York region. Jim was the 2010 Chairperson of the Securities Industry/Regulatory Council on Continuing Education and is a member of FINRA’s Regulatory Examination Review Committee as well as other industry-related compliance committees. He is a frequent speaker at several industry conferences, such as the Securities and Financial Markets Industry Association (SIFMA), Financial Markets Association (FMA), National Regulatory Services (NRS), American Conference Institute (ACI) and FINRA. He has participated in the development of the Continuing Education courses, such as “Introduction to the Securities Industry” as well as Anti-Money Laundering courses. Mr. Rabenstine received his MBA in Economics and Finance from Missouri State University and has an undergraduate degree in Accounting and Marketing from Clarion University. Mr. Rabenstine obtained the Certified Securities Compliance Professional (CSCP) designation and has successfully obtained his Series 3, 4, 7, 8, 14, 24, 27, 53, 63, and 66 commodities, securities, and investment advisory licenses.

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