Jim Prescott Email & Phone Number
Vice President, Compliance @ Ariel Investments
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Jim Prescott Location
- Naperville, IL, US
Jim Prescott Work
- 2017 -now Vice President, Compliance @
- 2014 -2017 Senior Compliance Analyst @
- 2012 -2013 Director, Fiduciary Services, CCO @ OakPath Financial
- 2004 -2012 Associate Director, Operations @
- 1995 -2004 Operations Manager @ Managers Investment Group / The Burridge Group LLC
- 1981 -1994 Vice President, Operations @ Fiduciary Management Associates
Jim Prescott Education
- DePaul University
Bachelor of Science (B.S.) (Business Administration)
Jim Prescott Skills
- Investment Advisor Compliance
- Unified Managed Accounts
- Investment Operations Management
- AIF
- Model Portfolios
- UMA
- AIFA
- Security APL
- SMA
- Mutual Funds
- Fiserv APL
- Wrap Accounts
- Institutional Accounts
- International ADRs
- Best Execution
- Performance Composites
- Morningstar Direct
- Microsoft Excel
- Portfolio Management
- Retirement Planning
- ERISA
- Performance Measurement
- Social Media
- Training
- Microsoft Office
- Search
- Personnel Management
- Asset Management
- Asset Allocation
- Separately Managed Accounts
- Equity Trading
- Compliance Testing
- Legal Compliance
- 401k
- Equity Settlements
- Personnel Supervision
- Investment Management
- Process Improvement
- Investments
- Business Analysis
- Series 65
- Team Leadership
- Equities
- Customer Service
- Checkfree Apl
- Financial Services
- Iaccp
- 401 Retirement Savings Plans
- Series 63
- Investment Compliance
- ADRs
- Compliance Officers
- Series 6
- Regulatory Compliance
- Securities
Jim Prescott Summary
- Jim Prescott, based in Naperville, IL, US, is currently a Vice President, Compliance at Ariel Investments. Jim Prescott brings experience from previous roles at Ariel Investments, OakPath Financial, Henderson Global Investors North America and Managers Investment Group / The Burridge Group LLC. Jim Prescott holds a Bachelor of Science (B.S.) in Business Administration @ DePaul University. With a robust skill set that includes Investment Advisor Compliance, Unified Managed Accounts, Investment Operations Management, AIF, Model Portfolios and more. Jim Prescott has 1 emails and 1 mobile phone numbers on RocketReach.
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