Ginger Simmons Email & Phone Number

Scottsdale, Az

Conduct regulatory audits of Registered Representatives, Investment Advisors and branch audits of various Broker-Dealers.  Examine processes and procedures for internal processes, company guidelines and regulatory compliance of Registered Representatives, Investment Advisors and Broker-Dealers Provide compliance consulting and training as needed.Responsible for obtaining artifacts during the audit process for submission to the client companies.

Scottsdale, Az

Conducted compliance audits for LIMRA of Financial Advisors, Investment Advisors and branch audits of offices of supervisory jurisdiction (OSJ’s) of various Broker-Dealers. Audited processes and procedures for internal and regulatory compliance.Provided compliance consulting and training as needed for auditees. Was responsible for collecting samples of advertising, stationery and marketing materials during the audit process for submission to the client companies.

Phoenix, Az

Expanded customer base from 50 to over 300 regular customers, and increased franchise revenue from $75,000 per year to over $1 million annual sales revenue.Consistently ranked in the top 15 Maid Brigade Franchises in the country for revenue attainment and maintained this high rating out of 300 franchisees until the sale of the company. Responsible for all aspects of managing a profitable business; sales and marketing, operations, payroll, purchasing, planning, budgeting, hiring, training, customer care and quality control. Sold Maid Brigade franchise in 2012 to pursue other interests and business opportunities.

Scottsdale Az

Managed 13 agencies in 7 states in all aspects of agency operations, control processes, planning and expense management.Supervised, mentored and developed 13 Operations and Control Managers and 82 indirect reports. Improved compliance audit results by 54% over the previous year’s audit scores resulting in the Western territory being one out of six to achieve the highest overall compliance scores. Executed Broker-Dealer office inspections of offices of supervisory jurisdiction (OSJ’s). Effectively managed $15 million in fixed budgets through variance analysis and employee education. Relocated as part of a team which built and implemented the operations and control function for the Western territory. Recruited, hired and staffed 20 agencies with Operations and Control Managers in 2/3 of the allotted time frame. Conducted agency site visits to test and monitor compliance with securities laws, state insurance regulations, reviewing agency planning, expense administration and overall operations. Accountable for developing and managing a $30 million dollar revenue stream for 10 agencies. Prepared risk analyses and evaluated process flow variances. Achieved corporate operational goals under budget fiscal year 1999.1996-1999 Prudential Insurance Newark, NJDirector, Agency Quality Developed an internal compliance program that was implemented through 11 managers, creating new and improved training programs and compliance processes for field management resulting in stronger control processes in the field offices and improvement of exam scores. Implemented and aggressively managed a $2 million dollar operating budget saving over $200,000 in expenses. Interfaced with all levels of management on a national basis.1986-1996 Prudential Insurance Newark, NJ/Jacksonville, FLManager, Client Acquisition ProcessSenior Underwriting ConsultantUnderwriting Consultant