Stacey Somerville Cfp® Cim® Email & Phone Number

As a regulatory compliance manager, I oversaw the supervision of registrants and staff, conducting branch reviews, educating on regulatory obligations, and providing support in investigations and inquiries. My responsibilities include Tier 1 trade reviews, approval of new accounts, and ensuring Know Your Client (KYC) updates align with suitability standards.

Abbotsford, British Columbia, Canada

In this multifaceted role, I provided comprehensive supervision to licensed advisors and staff across British Columbia, conducting daily and monthly trade reviews, training advisors on regulatory policies, assisting in marketing and registration inquiries, addressing operational issues, managing human resources functions, and ensuring financial accuracy.

Abbotsford, BC

In this dynamic role, I served as the central point of contact for client communication, gathered and inputted data for wealth planning reports, processed mutual fund and equity orders, and actively contributed to innovative pilot projects initiated by the head office.

Alaska

For four years, I worked as cruise staff during the Alaska season, specializing in Child Care and Social Hostess roles, providing engaging and memorable experiences for passengers.

Vancouver, Canada Area

As the Supervisor for a non-profit Montessori preschool, I oversaw a full daycare program and managed licensed kindergarten and after-school care programs, ensuring the delivery of quality education and childcare services.