Stephen Simon Email & Phone Number
Chief Compliance Officer and Chief Legal Officer @ Peregrine Capital Management, LLC
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Stephen Simon Location
- Saint Paul, MN, US
Stephen Simon Work
- 2024 - now Chief Compliance Officer and Chief Legal Officer @
- 2020 - now Chief Compliance Officer @
- 2020 - 2020 President, Chief Legal Officer and Chief Compliance Officer @ Simon Compliance Consulting Ltd
- 2014 - 2020 Chief Compliance Officer, Two Registered Investment Advisors and a Registered Investment Company @
- 2004 - 2014 Chief Compliance Officer, Registered Investment Advisor, Investment Companies and Separate Accounts @
- 1992 - 2004 Compliance Counsel @
Stephen Simon Education
- Mitchell Hamline School of Law
Jurid Doctor (Law with a focus on Securities)
- University of South Dakota
Bachelor of Science - BS (Criminal Justice / Minor in English)
Stephen Simon Skills
- Attention to Detail
- Risk Management
- Securities
- Regulatory Compliance
- Insurance
- Mutual Funds
- Investments
- Due Diligence
- Portfolio Management
- Corporate Law
- Derivatives
- Litigation
- Analysis
- Securities Regulation
- Investment Advisory
- Legal Compliance
- Private Equity
- Financial Services
- Corporate Governance
- Regulatory Requirements
- Internal Audit
- Investigation
- Investment Management
- Internal Controls
- Microsoft Excel
- Contract Negotiation
- Supervisory Skills
- Critical Thinking
- Problem Solving
- Training & Development
- Employee Training
- Relationship Building
- Strategic Thinking
- Skilled Multi-tasker
- Leadership
- Management
- Investment Advisers Act
- Securities Exchange Act of 1934
- U.S. Securities and Exchange Commission (SEC)
- Separate Accounts
- Investment Company Act
- RIAs
- Compliance Oversight
- Regulations
- Investment Compliance
- Internal Compliance
- Policies & Procedures
- Working With Clients
- Regulatory Examinations
- Microsoft Office
Stephen Simon Summary
- Stephen Simon, based in Saint Paul, MN, US, is currently a Chief Compliance Officer and Chief Legal Officer at Peregrine Capital Management, LLC. Stephen Simon brings experience from previous roles at Peregrine Capital Management, LLC, Simon Compliance Consulting Ltd, Fiduciary Counselling, Inc. and Allianz Life Insurance Company of North America. Stephen Simon holds a Jurid Doctor in Law with a focus on Securities @ Mitchell Hamline School of Law. With a robust skill set that includes Attention to Detail, Risk Management, Securities, Regulatory Compliance, Insurance and more. Stephen Simon has 3 emails and 2 mobile phone numbers on RocketReach.
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Stephen Simon
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