James Langan
About James Langan
James Langan serves as a Principal Examiner at FINRA, where he has worked since 2009, contributing to numerous examinations and providing training to examiners. He has a background in accounting and extensive experience in the financial industry, including roles at major firms such as JP Morgan Chase and Credit Suisse.
Work at FINRA
James Langan has served as a Principal Examiner at FINRA since 2009. In this role, he has participated in 12 examinations within the FINRA Sales Practice, focusing on effective collaboration and communication among team members. Langan has also contributed to various Risk Oversight & Operations Regulation (ROOR) committees and participated in FINRA pilot programs. His responsibilities include overseeing pre-planning, supervision, and report preparation for examinations, having led 20 examinations from 2010 through 2012. He provides in-the-field training and technical support to examiners, utilizing his extensive industry knowledge.
Education and Expertise
James Langan earned a Bachelor of Science degree in Accounting from Le Moyne College, where he studied from 1978 to 1982. His academic background has provided a strong foundation for his career in finance and compliance. Langan has over 10 years of experience with 'Loan IQ', a prominent loan platform in the financial industry. This expertise complements his extensive knowledge in securities accounting, risk oversight, and operations regulation.
Background
Prior to his tenure at FINRA, James Langan held various positions in the financial sector. He worked at JP Morgan Chase as a Consultant for two months in 2009. He also spent 18 years at DLJ, where he focused on Securities Accounting, covering Equities and Fixed Income trading and capital markets products. Langan served as Vice-President at Credit Suisse from 2000 to 2001 and later as Director of Product Control from 2002 to 2009, accumulating significant experience in financial operations.
Achievements
Throughout his career, James Langan has made notable contributions to the financial industry. He has been involved in the development of a back office accounting system specifically for loans. His participation in various committees and pilot programs at FINRA highlights his commitment to enhancing regulatory practices. Langan's extensive experience in examinations and training has positioned him as a knowledgeable resource within the organization.