Aaron Somers

Vice President, Compliance @CIM Group

Phoenix, AZ, US

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.

Arizona State University

Bachelor of Science - BS