Jim Cox

Jim Cox

Compliance Officer

Jim Cox joined WestEnd Advisors in 2020, and helps manage the firm’s compliance program. Jim entered the financial services industry in 1998 as a Compliance Officer with Interstate Johnson Lane, where he oversaw compliance with industry regulations for over 100 bank and brokerage branches. He continued in various compliance and management roles through several mergers, from Wachovia Securities to Wells Fargo Advisors. Prior to joining WestEnd, he most recently served as First Vice President/ Market Administration Manager, where his duties included leading and managing compliance policy decisions for the Charlotte market and assisting in the management oversight of over 130 Financial Advisors and Client Associates. Jim is a graduate of James Madison University with a B.A. in Business Management.