Insurance Process

Stanley Clymer

914-***-**** 917-***-**** (CP)

*************@*****.***

Compliance Analyst experienced in registration and regulatory research in the

Financial Services Industry

SUMMARY OF QUALIFICATIONS

Over 15 years, experience within the Financial Services Industry, specifically

Compliance Securities & Insurance Registration Licensing.

The Investment Advisor Act of 1940, Investment Company Act of 1940 along with

Finra rules.

FINRA WEBSITE - Research regulatory rules and regulations, responding to

regulatory inquiries and enforcement actions. .

Diverse professional development, financial budgeting, cost accounting

Transaction Detail.

Contact SRO’s - FINRA, SEC, NYSE, ASE and State Regulatory Agencies to

research and maintain compliance and productivity involving legal issues

Strategic thinker and planner, detail orientated multitasker, with exemplary

organization and project management skills

Windows 3.1, Microsoft Word & Excel, Peoplesoft, Infonet – National Insurance

News., ADP Webb, Hyperion System 9B workspace.

PROFESSIONAL EXPERIENCE

Westchester

One-Stop Employment Center, White Plains, NY (Temp) 03/2012 –

Present

08/2011 –

11/2011

Project Management -- Data Entry – Administrative staff - regarding career

development services .

Process employment related information through various computer services.

Performs research, data gathering, analyses and compilation of reports regarding

customer assets – personal profile.

Compiles and analyzes data to produce and maintain various resource diversion

and

management reports.

Use of computer applications, spreadsheets,word processing, e-mails, database

software

In performing work assignments.

Brown Brothers Harriman, New York, NY

The Forum Group

Compliance Analyst / Associate – Consultant (Temp) 11/2011

– 01/2012

Research regulatory rules and regulations. Assist clients in responding to

Regulatory

inquiries and enforcement actions.

Contact SRO’s - FINRA, SEC, NYSE, ASE and State Regulatory Agencies to

research

and maintain compliance and productivity involving legal issues.

Bluesheet processing – Market Surveillance – Bluesheet database.

Compliance Trading Info System, Direct Documents – Confirmations. PDF Adobe

filings. Continuing Education surveillance – Series 7, 63 Exam Surveillance.

Process Outside Business Activity – Affiliations. Employee trading surveillance.

Customer Relationship Management – prepping, formatting and cleansing a

large set of contacts for migration in the CRM SYSTEM on excel spreadsheets.

UBS Financial Services, Inc., Weehawken, NJ

Wealth Management Division 04/2007 -

05/2009

Compliance Associate – Securities & Insurance Registration Licensing

Self Regulatory Organizations – (SRO’S)’, u-4’s, applications and amendments

regarding various disclosures. Process u-5’s partial and full terminations, Issues

regarding felonies, misdemeanors, waiver letters, fingerprint background checks.

Process Continuing Education surveillance – regarding specific exams –

(ex.- series 7). Process Outside Business Activity – tracking UBS outside

business activity for charitable / non profit organizations against investment

related issues.

Process state insurance licensing applications and appointment requests.

Process corporate affiliations, company requests and insurance company

carriers nationally. INFONET - National Insurance News System – PEOPLESOFT

ADP Clearing & Outsourcing Services, Inc., New York, NY

Sr. Associate – Compliance Licensing 12/2004 -

09/2006

FINRA – WEB-CRD expense account.

Process daily Cost accounting, and monthly transaction detail expense

accounting.

Process pre-hires, u-4 applications, amendments, disclosure issues for initial and

transferable registered representatives, u-5’s applications – partial and full

terminations..

Employee Trading Surveillance – 407 letters, outside business accounts.

Prudential Financial Inc., New York, NY 01/1990 -

11/2004

Regional Securities Registration Specialist

REPRESENTATIVE for entire EAST COAST REGION, INTERNATIONAL

REGION and NEW YORK HOME OFFICES.

Process FINRA – WEB - CRD form filings for exams, state licensing requests.

Continuing Education Surveillance – (Regulattory Element Training Session).

Study material & courses – Kaplan Financial – (Formerly Deerborn).

Process u-4, u-5 applications, NFA filings along with Investment Advisor

applications.

Waiver request – regarding state and exam issues.

EDUCATION

Mercy College, Dobbs Ferry, NY

Sociology

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