Jeffrey Pruitt Email and Phone Number
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I am a Chief Compliance Officer who successfully guides organizations through changing and complex regulatory environments. I have developed and implemented customized, efficient and effective compliance programs for regional, national and global organizations. My experience delivering meaningful and concise reports, allows Boards and Senior Management to understand and accurately assess key risks. My expertise allows me to design programs that address the most critical priorities of the organization. I am known for partnering across enterprise wide functions to align programs that address practices impacting business performance such as social media, data privacy and Cyber Security. I am skilled at navigating regulatory exams and assessments that result in positive outcomes. Peers, leaders and Boards value my business acumen and candor. As a Leader, I earn the respect of those that I work with by providing timely guidance and solutions. I am effective working with individuals at all levels from front line staff to the C-Suite. My teams are recognized for their responsiveness, knowledge and problem solving. Looking forward, I will continue to contribute my compliance expertise and business leadership to protect organizational reputation, manage risk and support strategic objectives which drive business performance. BancWest Investment Services, a registered broker/dealer, member FINRA/SIPC, and SEC Registered Investment Adviser. Bank of the West and its various affiliates and subsidiaries do not endorse or adopt comments posted by third parties on LinkedIn. Comments posted by third parties are their own, and may not be representative of indicative of others' opinions, views, and experiences. Investments NOT FDIC INSURED|NOT BANK GUARANTEED|MAY LOSE VALUE|NOT A DEPOSIT|NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
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Chief Compliance OfficerBmo Nov 2023 - PresentToronto, On, Ca -
Chief Compliance OfficerBank Of The West Oct 2016 - Nov 2023Chicago, Illinois, UsChief Compliance Officer for Investment Advisor and Broker-Dealer at BancWest Investment Services. Lead an experienced team of Compliance professionals located across a diverse geographical footprint. Reorganized and realigned Compliance staff to more efficiently and effectively support the various business units and initiatives of the broader organization. -
Independent Compliance ConsultantCompliance Consultant Aug 2016 - Oct 2016Providing compliance program review, risk assessment and recommendations for medical software company. Focus of engagement is strengthening ongoing testing, ensuring appropriate documentation, cyber security, and improving ability to respond to new customer due diligence requests.
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Chief Compliance OfficerAllianz Insurance Jun 2014 - Aug 2016Guildford, GbHired into newly created role to lead the compliance programs for two key business divisions; Investment Adviser and Broker Dealer. Allianz Investment Management (AIM) has assets under management of over $130 Billion; Allianz Life Financial Services, LLC (ALFS) is a wholesale broker dealer with over 470 Registered Representatives generating approximately $5Billion in annual sales. Manage a team of seven in multiple states and report to Enterprise Chief Compliance Officer. Role involves significant interaction with global partners to ensure alignment between local and international programs. -
Senior Vice President / Chief Compliance OfficerPnc Oct 2010 - Jun 2014Pittsburgh, Pennsylvania, UsHired to rebuild and enhance the Compliance program for the Investment Advisor and Investment Company with assets of $40 Billion. Role expanded to include PNC Wealth and Institutional Management with assets of $127 Billion. Managed total staff of 25 made up of four teams across four states. Reported to Enterprise Chief Compliance Officer. Created strategic alignment of compliance programs across the enterprise interacting with key risk and control functions. -
Director & Chief Compliance Officer - Investment Company ComplianceThrivent Financial 2004 - 2010Minneapolis, Mn, UsPromoted to design and implement a compliance program for the Investment Advisor and Investment Company. Developed all key components of a strong program including board reporting, regulatory exam facilitation, internal controls, policies and procedures. Provided oversight and direction to business areas responsible for following the compliance policies and procedures. Created and hosted a Compliance Forum for that helped establish industry standards and best practices. -
Investment Product ManagerThrivent Financial 2003 - 2004Minneapolis, Mn, UsSelected to move into a newly created department to increase mutual fund product line profitability, track performance and recommend new product design. Delivered on profitability targets and developed asset allocation models which quickly became the largest funds and remain so today. -
Shareholder Services Manager / Customer Service ManagerThrivent Financial 1999 - 2003Minneapolis, Mn, UsPromoted through roles of increasing scope and responsibilities. Managed a call center of 85 and then a mutual fund transfer agent group of 30+ delivering on key metrics related to quality and timeliness. -
Disability Income Insurance SpecialistThrivent Financial 1998 - 1999Minneapolis, Mn, Us -
Regional Team Lead And Investor RepresentativeThrivent Financial 1995 - 1998Minneapolis, Mn, Us -
Registered RepresentativeMassmutual Financial Group 1994 - 1995Springfield, Massachusetts, Us
Jeffrey Pruitt Skills
Jeffrey Pruitt Education Details
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University Of St. ThomasGeneral -
Hamline UniversityEconomics
Frequently Asked Questions about Jeffrey Pruitt
What company does Jeffrey Pruitt work for?
Jeffrey Pruitt works for Bmo
What is Jeffrey Pruitt's role at the current company?
Jeffrey Pruitt's current role is Chief Compliance Officer for BMO Bank - Stoker Ostler.
What is Jeffrey Pruitt's email address?
Jeffrey Pruitt's email address is je****@****est.com
What is Jeffrey Pruitt's direct phone number?
Jeffrey Pruitt's direct phone number is +120860*****
What schools did Jeffrey Pruitt attend?
Jeffrey Pruitt attended University Of St. Thomas, Hamline University.
What skills is Jeffrey Pruitt known for?
Jeffrey Pruitt has skills like Financial Services, Securities, Mutual Funds, Leadership, Investments, Management, Wealth Management, Insurance, Risk Management, Finra, Sec, Regulatory Examinations.
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