James Stewart

Managing Director - Compliance at Great Lakes Advisors®
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Contact Information
us****@****om
(386) 825-5501
Location
Stamford, US
Skills

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Experience

  • Great Lakes Advisors®
    • United States
    • Investment Management
    • 1 - 100 Employee
    • Managing Director - Compliance
      • Mar 2023 - Present

      Stamford, Connecticut, United States

  • Northern Trust Asset Management
    • United States
    • Investment Management
    • 700 & Above Employee
    • Vice President, Compliance | Head of Sub-Advisory Compliance
      • Nov 2021 - Mar 2023

      Stamford, Connecticut, United States

  • PGIM Investments
    • United States
    • Financial Services
    • 200 - 300 Employee
    • Manager, Compliance - Adviser Regulatory Due Diligence
      • May 2015 - Nov 2021

      Shelton, Connecticut

    • Analyst, Compliance - Marketing Review
      • Mar 2014 - May 2015

      Newark, NJ

  • Voya Financial
    • United States
    • Financial Services
    • 700 & Above Employee
    • Senior Advertising Compliance Analyst
      • Oct 2007 - Mar 2014

      Hartford, Connecticut Area

    • Operations Supervisor
      • Oct 2005 - Oct 2007

      Hartford, Connecticut Area

    • Plan Manager
      • Jun 2001 - Oct 2005

      Hartford, Connecticut Area

Education

  • Central Connecticut State University
    Bachelor of Arts (B.A.), Sociology

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