Jim Collins


Director, International Compliance

Charles Schwab


Jim Collins re-joined Charles Schwab in January, 2017 to provide Compliance guidance and support to the Global Services and International affiliate businesses of the firm.   Mr. Collins had served with International Compliance at Schwab from 1997 to 2002.

Prior to Schwab, Mr. Collins served as Managing Director, Chief Compliance Officer for First National Capital Markets, First National Bank of Omaha’s broker-dealer and registered investment advisor.  Mr. Collins had also previously served as Head of Compliance for the Wealth Management, Trust and Private Banking Divisions of the Bank.

Before joining First National, Mr. Collins was Senior Vice President of Compliance for Citigroup Global Markets in New York and served as Chief Compliance Officer and Anti-Money Laundering Officer for Citigroup Capital Strategies.  Prior to Citigroup, Mr. Collins had been Vice President of International Branch Administration and Operations at Prudential Securities in NY.  Mr. Collins began his career at Merrill Lynch in New York, where he graduated from broker training and was an International Account Executive and Trader with the Institutional Futures Division. 

Mr. Collins earned his B.S. in Finance and Economics from Fairleigh Dickinson University in Madison, N.J., and studied at Wroxton College in Oxford, England.  He holds the Series 3, 7, 8 and 63 securities licenses, a Series 65 investment advisor license, and is a Series 24 registered principal.


Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org