Jim Papagiannis

Managing Director

  • Company:InCapital
  • Short Bio:Jim J. Papagiannis is the Chief Compliance Officer of Incapital. In this role, he leads the Compliance department, which is responsible for overseeing and directing the regulatory compliance program of Incapital and its affiliates. Jim works closely with each business unit in order to ensure compliance with state and federal laws, rules and regulations, industry and internal standards. Prior to joining Incapital, Jim spent 14 years at the Financial Industry Regulatory Authority (FINRA) where he served as Examination Manager in nearly every area of FINRA member regulation including routine cycle firm examinations, targeted cause examinations, financial/operational reviews and membership applications. During his career at FINRA, Jim has examined several hundred industry members with various lines of business and has a great perspective on a wide range of regulatory issues. Jim holds a B.S. in finance and an MBA in international finance and marketing from DePaul University. Jim also holds the Chartered Financial Analyst (CFA) designation.
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