Employee Spotlight - Regina Sims

Introduce yourself and describe your role at M.

I am Regina Sims, and I am the Registration, Regulatory and Risk Manager for M Holdings Securities. I manage great teams that facilitate the registration and licensing of our Member Firms, mitigate any risks, and respond to regulators. My role is to create an environment for them to grow and succeed while making sure our Member Firms receive the best service possible.

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M’s mission is “To help our Member Firms succeed, thrive, and realize their full potential.” How do you work to further that mission?

By actively engaging with Member Firms, providing tailored support and resources, fostering collaboration, offering strategic guidance, advocating for their interests, and staying informed and adaptive, I am playing a vital role in helping them succeed, thrive, and realize their full potential. I like to take the time to understand the unique challenges and opportunities facing each Member Firm. I try to engage with them directly to gather feedback, listen to their concerns, and identify areas where they could benefit from support. I also try and stay informed about industry trends, best practices, and changing regulatory rules that could impact Member Firms. I am continuously updating my knowledge and skills to remain relevant and effective in supporting their evolving needs.

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What accomplishment during your time at M are you most proud of?

I am most proud of enhancing the Member Firm perception of the Registration and Licensing team. I have implemented new processes, streamlined procedures, and enhanced customer service within the Registration and Licensing team. We have fostered better communication and collaboration between the Registration and Licensing team and Member Firms. We addressed challenges faced by Member Firms, introducing innovative solutions and/or alternative approaches. By doing so, we have significantly improved the experience for Member Firms, leading to a positive enhancement in perception.

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What is your favorite part of your job?

The people. Whether it is my internal colleagues or our Member Firms, creating relationships and fostering collaborations with like-minded people that share a common goal of creating the best version of M makes every day worth doing this job. Knowing that my interactions with others have a positive impact, whether it's through providing support, guidance, or encouragement is incredibly fulfilling. Being able to contribute to the well-being and success of others is a meaningful way for me to find purpose and satisfaction in my work. I truly enjoy sharing in the achievements of others; it brings a sense of joy. Whether it's celebrating a colleague's promotion, congratulating a team member on a successful project, or acknowledging our Member Firm’s accomplishments, being part of a supportive community that celebrates success is incredibly uplifting.