James M. Connolly
Chief Compliance Officer

email: jmc@go2griffin.com phone: (215) 751-2877

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James M. Connolly serves as Chief Compliance Officer of Griffin Financial Group.

Jim is the former chief compliance officer, an assistant general counsel and corporate secretary for Vie Financial Group, a public company providing electronic trading services to institutional investors and broker-dealers. In this capactiy, he handled regulatory compliance issues for three broker-dealer subsidiaries, including the preparation of written policies and procedures, compliance oversight of supervisory personnel and examination preparation. He also was responsible for the preparation and review of public company filings, supervision of the company's proxy solicitations, interpretation of Delaware GCL for the board of directors and senior management.

Jim spent more than 20 years in the financial markets as a fixed-income specialist, with a particular focus on U.S. Treasury securities. His experience in this area includes positions in institutional sales, trading and portfolio management, while holding officer-level positions with Morgan Stanley & Co., Nomura Securities International, HSBC Securities and Morgan Guaranty Trust Co. of New York (now J.P. Morgan & Company), where he was instrumental in establishing the company's first offshore U.S. Treasury sales and trading unit in London.

Jim holds a J.D., cum laude, from the State University of New York at Buffalo, an MBA from Seton Hall University and a B.S. from Niagara University.