Stephen Simon
Chief Compliance Officer at Peregrine Capital Management, LLC | St Paul, Minnesota, United States
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Chief Compliance Officer at Peregrine Capital Management, LLC in October 2020 to Present
Chief Compliance Officer & Chief Legal Officer at Peregrine Capital Management, LLC in January 2024 to Present
President, Chief Legal Officer and Chief Compliance Officer at Simon Compliance Consulting Ltd in February 2020 to September 2020
Chief Compliance Officer, Two Registered Investment Advisors and a Registered Investment Company at Fiduciary Counselling, Inc., Clearwater Management Co., Inc. and Clearwater Investment Trust in February 2014 to February 2020
Chief Compliance Officer, Registered Investment Advisor, Investment Companies & Separate Accounts at Allianz Life Insurance Company of North America in July 2004 to February 2014
Compliance Counsel at Securian Asset Management in January 1992 to January 2004
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Mitchell Hamline School of Law, Jurid Doctor
University of South Dakota, Bachelor of Science - BS
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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
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Discover more about Peregrine Capital Management, LLCWhat is Stephen Simon email address?
Email Stephen Simon at [email protected], [email protected], [email protected] and [email protected]. This email is the most updated Stephen Simon's email found in 2026.
What is Stephen Simon phone number?
Stephen Simon phone number is 3202534338.
How to contact Stephen Simon?
To contact Stephen Simon send an email to [email protected], [email protected], [email protected] or [email protected]. If you want to call Stephen Simon try calling on 3202534338. (updated on September 02, 2024)
What company does Stephen Simon work for?
Stephen Simon works for Peregrine Capital Management, LLC
What is Stephen Simon's role at Peregrine Capital Management, LLC?
Stephen Simon is Chief Compliance Officer
What industry does Stephen Simon work in?
Stephen Simon works in the Investment Management industry.
Stephen Simon Email Addresses
Stephen Simon Phone Numbers
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