Jim Prescott Email & Phone Number
Vice President, Compliance @ Ariel Investments
5 free lookup(s).
If you need more lookups,
subscriptions start at $34 USD/month.
Jim Prescott Location
- Naperville, IL, US
Jim Prescott Work
- Vice President, Compliance @ (December 2017 - Present)
- Senior Compliance Analyst @ (September 2014 - December 2017)
- Director, Fiduciary Services, CCO @ OakPath Financial (January 2012 - January 2013)
- Associate Director, Operations @ (January 2004 - January 2012)
- Operations Manager @ Managers Investment Group / The Burridge Group LLC (January 1995 - January 2004)
- Vice President, Operations @ Fiduciary Management Associates (January 1981 - January 1994)
Jim Prescott Education
- DePaul University
Bachelor of Science (B.S.) (Business Administration)
Jim Prescott Skills
- 401(k) Retirement Savings Plans
- ADRs
- Best Execution
- Compliance Officers
- Compliance Testing
- Equity Trading
- Fiserv APL
- IACCP
- Institutional Accounts
- International ADRs
- Investment Advisor Compliance
- Investment Compliance
- Investment Operations Management
- Legal Compliance
- Microsoft Excel
- Model Portfolios
- Morningstar Direct
- Mutual Funds
- Performance Composites
- Regulatory Compliance
- SMA
- Securities
- Security APL
- Series 6
- Series 63
- Series 65
- UMA
- Unified Managed Accounts
- Wrap Accounts
- AIF
- AIFA
- Portfolio Management
- Retirement Planning
- ERISA
- Performance Measurement
- Social Media
- Training
- Microsoft Office
- Search
- Personnel Management
- Asset Management
- Asset Allocation
- Separately Managed Accounts
- 401k
- Equity Settlements
- Personnel Supervision
- Investment Management
- Process Improvement
- Investments
- Business Analysis
- Team Leadership
- Equities
- Customer Service
- Checkfree Apl
- Financial Services
- 401 Retirement Savings Plans
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 401(k) Retirement Savings Plans, ADRs, Best Execution, Compliance Officers, Compliance Testing and more. Jim Prescott has 1 emails and 1 mobile phone numbers on RocketReach.
Looking for a different Jim Prescott?
Find contact details for 700 million professionals.
G2 Crowd Trusted
300K+ Plugin Users
© 2026 RocketReach.co