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Nicole Smith

Nicole Smith

Senior Associate

Nicole Smith is a Bates Senior Associate with five years of experience developing and implementing compliance policies, procedures and processes, conducting risk assessments, and partnering with regulatory agencies in the financial services industry. Prior to joining Bates, she focused on providing compliance services for external clients to implement corporate policy, identify potential areas of non-compliance, and provide guidance on regulatory requirements.

Nicole is a consultant and subject matter expert in these Practice Areas and Services:



Bates Group, Sr. Associate, Tempe, AZ, 2023 - Present
Foreside/ACA Group, Sr. Compliance Analyst, Portland, ME, 2021 - 2023
Foundations Investments Advisors (FIA), Compliance Specialist, Scottsdale, AZ, 2018 – 2021
Trajan Wealth, Executive Assistant, Scottsdale, AZ, 2017 - 2018
Wealth Management Strategies, Inc., Executive Assistant, Rocky Mount, NC, 2007 - 2017


North Carolina Health & Life Insurance License