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John Castelly

Chief Compliance Officer at Personal Capital

John Castelly is a seasoned professional with a wealth of experience in advising senior officers on risk assessment, fraud prevention, compliance practices, and industry regulations.

He has a strong background in developing compliance materials, training registered representatives, and fostering a culture of compliance and best sales practices.

John holds a Doctor of Jurisprudence in Law from Columbia Law School and a Bachelor's in Liberal Arts from Ccny School Of Education.

With a rich organizational history, John has held key positions such as Chief Compliance Officer at Personal Capital, Senior Counsel at Td Ameritrade, and Executive Director at Morgan Stanley.

His tenure at the U.S. Securities and Exchange Commission as Special Counsel in the Division of Trading and Markets has further enhanced his expertise in legal and compliance matters.

John's ability to collaborate effectively with diverse teams has been evident in his roles, where he coordinated legal and compliance programs and initiatives with success.

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Location

San Francisco Bay Area