FacultyFaculty/Author Profile

Bruce W. Maisel

BMO Harris Bank
Vice President & Chief Compliance Officer, U.S. Private Client Group
Chicago, IL, USA


Bruce W. Maisel is Vice President and Chief Compliance Officer, U.S. Private Client Group for BMO Harris Bank, Chicago, IL. Bruce leads the compliance groups that oversee BMO Harris Bank’s U.S. wealth management businesses. Previously, Bruce was Managing Counsel, Member Services Law and Compliance for Thrivent Investment Management, Minneapolis, MN. Bruce also previously served as chair of the American Council of Life Insurers’ Working Group on Investment Adviser/Broker-Dealer Standard of Care and was a member of FINRA’s Membership Committee.

Bruce formerly served as Counsel and Vice President & Senior Corporate Counsel with Ameriprise Financial Services, Inc., Minneapolis, MN and Charles Schwab & Co., Inc., San Francisco, CA, respectively. He started his career with the Heller, Ehrman, White & McAuliffe law firm, San Francisco, CA.

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.