James Sanders
Regulatory Compliance & Legal Advisory - Senior Consultant at SMBC Capital Markets, Inc. | New York, New York, United States
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James Sanders is a seasoned professional in the financial services sector, currently serving as a Senior Consultant for Regulatory Compliance and Legal Advisory at SMBC Capital Markets, Inc. With a robust background as a former Senior Trial Attorney with the Commodity Futures Trading Commission (CFTC), James brings a wealth of experience in regulatory compliance, enforcement, and advisory roles across various capital market sectors. His expertise encompasses a wide array of entities, including broker-dealers, futures commission merchants, retail foreign exchange dealers, registered investment advisers, and commodity trading advisers.
In his current role, James is instrumental in providing comprehensive advisory support for compliance with Dodd-Frank regulations, specifically focusing on the CFTC, SEC, and NFA requirements. He plays a pivotal role in overseeing the capital management compliance initiatives, ensuring that SMBC Capital Markets adheres to the stringent regulatory landscape that governs derivatives, trading, and foreign exchange activities. His leadership in the regulatory change management program is vital, as it helps the organization navigate the complexities of financial regulation and adapt to evolving compliance requirements.
James's skill set is extensive, covering critical areas such as derivatives trading, FX options, and financial regulation. His deep understanding of the intricacies of the financial services industry allows him to provide strategic insights that enhance compliance frameworks and mitigate risks associated with regulatory enforcement. As a thought leader in the field, James is dedicated to fostering a culture of compliance and ethical conduct within the organization, ensuring that SMBC Capital Markets remains at the forefront of industry standards and practices.
Regulatory Compliance & Legal Advisory - Senior Consultant at SMBC Capital Markets, Inc. in January 2021 to Present
Head of Swaps & Derivatives Compliance, Executive Director at Rabobank in January 2016 to May 2018
Senior Consultant at Patomak Global Partners in June 2014 to January 2015
Chief Compliance Officer at First Derivatives in February 2013 to April 2014
Chief Compliance Officer at FXCM - Forex Capital Markets in September 2005 to December 2012
Americas Regulatory Counsel - Director at Credit Suisse in February 2003 to July 2005
Counsel at Norton Rose Fulbright LLP in May 2001 to February 2003
Senior Trial Attorney - Division of Enforcement at Commodity Futures Trading Commission in April 1996 to May 2001
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Capital Markets
Financial Markets
Derivatives
Trading
Hedge Funds
AML
FX Options
Electronic Trading
Commodity
Equities
Financial Services
Options
Foreign Exchange
Anti Money Laundering
Trading Systems
Financial Regulation
FINRA
KYC
Currency
Foreign Exchange (FX) Options
Anti-corruption
Regulatory Affairs
Regulatory Compliance
Regulatory Requirements
enforcement
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Discover more about SMBC Capital Markets, Inc.What is James Sanders email address?
Email James Sanders at [email protected] and [email protected]. This email is the most updated James Sanders email found in 2026.
What is James Sanders phone number?
James Sanders phone number is +15169962647 and +15162980837.
How to contact James Sanders?
To contact James Sanders send an email to [email protected] or [email protected]. If you want to call James Sanders try calling on +15169962647 and +15162980837.
What company does James Sanders work for?
James Sanders works for SMBC Capital Markets, Inc.
What is James Sanders's role at SMBC Capital Markets, Inc.?
James Sanders is Regulatory Compliance & Legal Advisory - Senior Consultant
What industry does James Sanders work in?
James Sanders works in the Financial Services industry.
James Sanders Email Addresses
James Sanders Phone Numbers
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