Aaron Somers Email & Phone Number

Phoenix, Arizona Area

Selected to lead compliance management for this registered broker-dealer specializing in alternative investment products. As a consultative expert, assist departments, including Sales, Marketing, Operations, Accounting, IT and other business stakeholders with policies, procedures, manuals, the testing of policies and procedures, and the continuity of systems. Serve as a valued resource in strategic business planning for new initiatives. Conceptualize, create, and implement policies and procedures that govern the activities of the firm. Develop and launch Firm Element and Annual Compliance Meeting programs.Serve as a subject matter expert and source of guidance to the marketing department on compliance procedures related to marketing campaigns. Provide direction and insight to senior management and C-Level executives on the complex regulatory environment.Mentor, motivate, and inspire alongside staff to exceed performance and service level expectations.Leverage superior planning, influencing, and relationship building skills manage clients’ needs and drive results.

Phoenix, Arizona Area

Provided executive leadership and accountability for the policies and procedures that govern all corporate messaging and communication with the public for 5K+ financial advisors across the United States. Developed and coached a team of analysts accountable for supporting organizational compliance initiatives in addition to maintaining industry-leading service levels. Oversaw and administered a department budget of $1M+ for travel, career development, and payroll expenses.Coached, mentored, motivated, and led a multifaceted and regionally dispersed staff of 14, including 10 analysts.Supported department and operational growth by introducing career development through innovative hiring and advancement practices, including regional assignment and promotion structure.Managed client and service quality expectations by delivering onboarding training to advisors and servicing the onboarding of large offices.

Phoenix, Arizona Area

Championed and led the development of procedures to manage the review and regulatory filing of sponsor's non-traded REIT communications. Played a key role as a member of the Investment Program Association compliance subcommittee accountable by facilitating a collaborative relationship with the FINRA Advertising Regulation Department. Accepted an invitation to speak to the entire FINRA Advertising Regulation staff in November 2013. Planned, developed, and implemented processes to streamline the filing of complex documents across 3 regulatory agencies.Directed high-level strategic planning and development of procedures, processes, and training for the Marketing Disclosure Library to allow for streamlining and automation. Utilized innovative strategies to develop messaging continuity and client retention initiatives.

Scottsdale, Az

Selected to head the revitalization process for the entire compliance program and oversee all aspects of compliance operations. Implemented cost-effective and practical initiatives to revamp and revitalize the compliance program. Asked to serve as 1 of 3 speakers on a panel for FINRA online learning webinar regarding Broker-Dealer obligations under the Employee Retirement Income Security Act of 1974.Oversaw, led, and directed 5 direct reports and motivated them to go above-and-beyond to exceed operational goals.Sourced, recruited, and retained multi-million-dollar producers by offering outstanding service standards and solid compliance support.Optimized compliance operations by supporting the development of a fiduciary advice program that offered a competitive advantage for retirement plan clientele.

Phoenix, Arizona Area

Scottsdale, Az

Phoenix, Arizona Area

Phoenix, Arizona Area