Wealth Compliance Leaders featuring Jim Sommerfield, Sr. Compliance Officer at Wintrust Wealth Management

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Wealth Compliance Leaders

InvestorCOM Inc.

26 episodes

1 day ago

Wealth Compliance Leaders features exceptional leaders from the wealth management industry. In this series, we speak with senior industry, regulatory, and technology executives to discuss wealth management and compliance challenges. This series is hosted by InvestorCOM, a provider of regulatory software solutions for wealth managers, asset managers and insurers. For more information, visit www.investorcom.com or contact us at hello@investorcom.com

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Wealth Compliance Leaders featuring Jim Sommerfield, Sr. Compliance Officer at Wintrust Wealth Management

Wealth Compliance Leaders

12 minutes 50 seconds

2 years ago

Wealth Compliance Leaders featuring Jim Sommerfield, Sr. Compliance Officer at Wintrust Wealth Management

In today’s conversation, we chat with Jim Sommerfield, Senior Compliance Officer at Wintrust Wealth Management.

With over 25 years of industry experience, Jim has seen it and done it all including the development, implementation, and management of Wintrust’s ongoing compliance programs including surveillance of firm sales practices.

In this episode, we chat with Jim to find out:

* His career journey and the series of events that led to his interest in financial market regulation.

* His thoughts on how folks in business and compliance can embrace regulations such as Reg BI and DOL’s PTE requirements in a strategic way.

* What keeps him up at night as he contemplates the confluence of regulatory expectations, examinations, etc.

* What Jim would do if he could transform the industry for the better.

== For more information ==

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