Jim Downing

Chief Compliance Officer

  • Company:BMO Harris
  • Short Bio: James “Jim” Downing is the Global Chief Compliance Officer of Aon Plc Retirement & Investment business. Jim has over 17 years of experience in Compliance in the broker dealer and investment advisory industry. Jim was previously a Chief Compliance Officer for BMO Wealth Management and an Executive Director at JP Morgan Chase where he was the head of the wealth management compliance program. Prior to Aon, Jim held other Compliance roles and was also a FINRA examiner from the Chicago District Office for 5 years. Jim has his Juris Doctorate with honors from Taft Law School and also a Masters of Accounting with honors from Roosevelt University. Jim has his series 7, 24, 27, 53, and 66 from FINRA. Jim currently serves on the Board of Directors for the National Society of Compliance Professionals and actively participates on several NSCP committees.
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