James Gallagher
About James Gallagher
James Gallagher is the Assistant Vice President at Jefferies, with extensive experience in audit and risk control within the financial services sector.
Title
James Gallagher holds the position of Assistant Vice President at Jefferies, where he has been serving since 2021. His role involves a hybrid work environment based out of New York, New York, United States.
Current Role at Jefferies
As Assistant Vice President at Jefferies, James Gallagher is stationed in a hybrid role mixing remote and on-site responsibilities. At Jefferies, he contributes significantly by conducting audits and performing control assessments in key areas related to Municipal Securities, Primary Dealer Treasury Auctions, and Regulation BI. His position underscores adherence to MSRB Rules, focusing especially on domains like Investment Banking, Sales and Trading, and Underwriting.
Previous Experience at People's United Bank
From 2017 to 2021, James Gallagher worked at People's United Bank, N.A. as an Audit Manager in Bridgeport, Connecticut. During his four-year tenure, Gallagher was responsible for conducting comprehensive audits and developing testing mechanisms to ensure compliance and mitigate operational risks within the bank's operations.
Career at AllianceBernstein
James Gallagher served as Vice President at AllianceBernstein for a decade, from 2007 to 2017. Located in the Greater New York City Area, his role involved substantial risk control and audit responsibilities, ensuring that the company's operations complied with regulatory requirements and internal standards.
Roles at Citigroup and Bear Stearns
Before his tenure at AllianceBernstein, James Gallagher held senior positions at Citigroup and Bear Stearns. In 2005-2006, he was the SVP, Risk Control Officer at Citigroup in the New York City Metropolitan Area, followed by a two-year stint as VP/Audit at Bear Stearns from 2003 to 2005.
Education and Specialized Skills
James Gallagher obtained his Bachelor of Science (BS) degree in Business, Management, Marketing, and Related Support Services from Fordham University between 1985 and 1989. His specialized skills include conducting audits, executing control assessments, and adherence to MSRB Rules, with a focus on Investment Banking, Sales and Trading, and Underwriting.