Jeff Ringbloom is a Compliance Manager at Rothschild Wealth Partners, overseeing compliance programs across the firm’s Broker-Dealer and Registered Investment Adviser operations. His work includes developing and maintaining supervisory, monitoring, and testing procedures, conducting periodic reviews of firm policies and controls, and tracking regulatory developments to assess their operational impact. Jeff serves as a go-to compliance resource for advisors, principals, and leadership across the firm. He holds the FINRA Series 7 registration and the Certified Fraud Examiner designation.
Jeff built his foundation in financial services through a career that spans trading, audit, and regulatory examination. He began at XR Trading, a high-frequency trading firm, before moving to Wintrust Financial as a Financial Analyst focused on Sarbanes-Oxley controls. He went on to serve as a Senior Internal Auditor at both the Chicago Mercantile Exchange and William Blair & Co., then spent time as a Compliance Examiner with the National Futures Association, where he examined Swap Dealers. That breadth of experience across trading, audit, and regulation gives him a well-rounded perspective on how compliance risk shows up in practice. He earned his Bachelor of Science in Accounting from the University of Illinois at Chicago.
A proud Eagle Scout with a Bronze Palm, Jeff carries that same spirit of preparation and dedication into everything he does. Outside of the office, he is an avid backpacker and hiker, and a genuine car and motorcycle enthusiast, owning a 1930 Ford Model A that he takes out for regular drives.
