James Heinzman

James Heinzman is Managing Director of Securities Solutions at Actimize and has 20 years of compliance experience. He leads the development of a technology-based risk management strategy for brokerage compliance. Prior to rejoining Actimize, Mr. Heinzman was a managing director at Bear Stearns, where he was responsible for business supervision and surveillance in the Global Equities division. He was previously a product manager for Actimize and developed many of its surveillance and supervisory protocols. Mr. Heinzman is a member of the National Society of Compliance Professionals (NSCP) and SIFMA Legal and Compliance Division; he holds the Series 7, 24, 4, 53, 63, and 65 securities licenses and has completed the FINRA/Wharton Certified Regulatory and Compliance Professional certificate program (CRCP).