David Somers Email & Phone Number
Senior Vice President, Compliance Consulting (Financial Services Compliance and Regulation) @ Kroll
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David Somers Location
- Hartford, CT, US
David Somers Work
- 2026 -now Senior Vice President, Compliance Consulting (Financial Services Compliance and Regulation) @
- 2023 -2026 Chief Compliance Officer and AMLCO (Easterly Securities LLC) @
- 2021 -2023 Outsourced Chief Compliance Officer (OCCO) and Compliance Consultant @ Adherence LLC
- 2018 -2020 Compliance Consultant (FTE), Wealth Management Compliance Department @
- 2012 -2018 Chief Compliance Officer, Compliance Manager, and V.P. (Cigna Investments, Inc.) @
- 2011 -2012 Compliance Senior Specialist (Cigna Investments, Inc.) @
- 2007 -2010 Director of Regulatory Consulting, Compliance and Regulatory Services @
- 2006 -2007 Audit Services Consultant @
- 2001 -2006 Regulatory Officer and Vice President, Wealth Management Compliance Department @ Advest, Inc. (Merrill Lynch)
- 2000 -2001 Investment Adviser Consultant @
David Somers Education
- Western New England University School of Law
Juris Doctor (Law)
- Bentley University
B.S. (Business Management and Minor in Computer Information Systems)
David Somers Skills
- Wealth Management
- Management
- Proofpoint Supervision
- Legal Research
- Anti Money Laundering
- Finscan
- Risk Management
- SEC
- Training
- Mutual Funds
- LexisNexis
- Insurance
- Financial Services
- Asset Management
- Securities Regulation
- Compliance Management
- Reviews
- Regulatory
- Strategy
- Investment Management
- Regulatory Affairs
- Due Diligence
- Regulations
- Securities
- SharePoint
- Sales
- Bd Regulation
- Foreign Sanctions Compliance
- Services
- Business Development
- Schwab Compliance Technologies Sct
- Investments
- Microsoft Excel
- Compliance11
- Alternative Investments
- Insurance Law
- Ria Regulation
- Compliance
- Portfolio Management
- FINRA
- Bloomberg Vault
- Schwab Compliance Technologies
David Somers Summary
- David Somers, based in Hartford, CT, US, is currently a Senior Vice President, Compliance Consulting (Financial Services Compliance and Regulation) at Kroll. David Somers brings experience from previous roles at Easterly Asset Management, Adherence LLC, MassMutual and Cigna. David Somers holds a Juris Doctor in Law @ Western New England University School of Law. With a robust skill set that includes Wealth Management, Management, Proofpoint Supervision, Legal Research, Anti Money Laundering and more. David Somers has 4 emails and 8 mobile phone numbers on RocketReach.
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