Jim Sommerfield
RNDIP Oversight Officer / Sr. Compliance Officer / Insurance Principal / BSA Officer at Wintrust Wealth Management
- Role
- Sr Compliance Officer at Great Lakes Advisors
- Location
- Chicago, IL, US
- LinkedIn followers
- 500 followers
Finance & AccountingView LinkedIn profile
About Jim Sommerfield
Experienced senior leader and lifelong learner with a record of exceptional performance…
Experience
Sr Compliance Officer
Jan 2001 — Present · Chicago, IL, US
Education
Northern Illinois University
MBA
2002 — 2008
Kansas State University
BS, Finance
1992 — 1996
Skills
- Asset Allocation
- Mutual Funds
- Risk Management
- Cscp
- Retirement Planning
- Securities
- Finra
- Series 7
- Portfolio Management
- Financial Planning
- Investments
- Wealth Management
- Investment Company Act
- Options
- Anti Money Laundering
- Compliance
- Insurance
- Series 24
- Fixed Income
- Investment Advisor Compliance
- Equities
- Asset Management
- Investment Advisory
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