Since 2004, Paul R. Walsh continues as a Vice President,
Compliance Director & Assistant General Counsel in the Legal
& Compliance Department of JPMorgan Chase. Mr. Walsh manages a
group of compliance professionals and attorneys responding to
regulatory inquiries and examinations from FINRA, SEC and state
securities departments along with customer disputes involving Chase
Investment Services Corp. (CISC), the firm’s retail broker-dealer.
Prior to JPMorgan Chase, Mr. Walsh spent six years as an Assistant
Vice President and Counsel in the Compliance Department at AXA
Financial providing legal and compliance advice to AXA Advisors,
the firm’s broker-dealer.
Before moving to in-house counsel positions, Mr. Walsh was a
trial attorney in the Torts Division of the New York City Law
Department. He began his legal career after graduating from St.
John’s University School of Law in 1992 as an Assistant District
Attorney in Brooklyn, New York. Since 2011, Paul has been an
Adjunct Professor at St. John’s University School of Law teaching
Broker Dealer Regulation. He has also been a FINRA neutral
arbitrator as an industry panelist since 2002.