Insurance Life
Resume:
Frank E. Thomson
Charlotte, NC ****4
abkawa@r.postjobfree.com
Education
George Mason University School of law; Arlington, Virginia
Juris Doctor, May 2000
. Concentration in Corporate and Securities Law.
. Coursework included: Securities Law and Regulation, Business
Mergers and Acquisitions, Business Associations, Bankruptcy,
Individual Income Tax and Corporate Income Tax.
. Member, South Carolina Bar.
College of Charleston; Charleston, South Carolina
Bachelor of Arts, Business Communications, August 1994
. Executive Council Member of Sigma Alpha Epsilon.
. Received Sigma Alpha Epsilon National Community Service Award.
. Attended select course program consisting of travel to white-
collar prisons to interview over 50 inmates regarding the nature
of their crimes, convictions and incarceration.
Goethe Institut; Munich, Germany
Intensive language coursework in study abroad program, June 1993-
January 1994.
Employment History
AXA Equitable Life Insurance Company - Charlotte, North Carolina
National Operations Center
Senior Compliance Specialist/Legal-Regulatory Specialist, April 2010 -
Present.
. Manage audits/exams from the scoping/planning phase through
remediation; coordinate activities and communications between
regulators and the functional business areas; collection and
review of requested data to formulate effective responses to
audit results; develop and implement follow-up reviews based on
audit results. Exams include but are not limited to: State
Market Conduct Exams, New York State Quinquennial Exam and
Internal Anti-Money Laundering Audit.
. Respond to queries from business processing areas regarding
insurance laws and regulations.
. Review newly proposed and revised regulations to assess possible
impact on supervisory, processing and business systems.
. Review and draft updates to OSJ Written Supervisory Procedures.
. Review and draft updates to 38a-1 Compliance Manual.
. Draft Quarterly 38a-1 Compliance Reporting requirements.
Thomson Law Firm - Charleston, South carolina
Managing Partner, August 2008 - April 2010.
. Formed business entities for clients, including LLCs,
corporations and partnerships.
. Assisted clients with structuring business relationships and
succession and exit strategy planning.
. Drafted operating and partnership agreements, corporate by-laws,
shareholder agreements and buy-sell agreements.
. Facilitated the purchase and sale of businesses (both asset and
stock purchases), including preparation of all necessary
documentation, filings and asset-purchase agreements.
. Drafted and reviewed of all types of business related contracts.
Arrow Waste, Inc. Charleston, South Carolina
Owner and Operator, April 2005 - December 2007.
. Founded and successfully operated a waste hauling business in
the Charleston area.
. Interviewed, hired, trained and managed employees.
. Company bought out by a competitor in December 2007.
Porter Law Firm - Charleston, South Carolina
Of Counsel, April 2004 - April 2005.
. Formed business entities for clients, including LLCs,
corporations and partnerships.
. Assisted clients with structuring business relationships and
succession and exit strategy planning.
. Drafted operating and partnership agreements, corporate by-laws,
shareholder agreements and buy-sell agreements.
MassMutual Financial Group - The South Carolina Agency
Charleston, South Carolina
Compliance/Supervisory Officer, March 2001- April 2005.
. Conducted supervisory review and approval of all securities
transactions including variable life, variable annuities, mutual
funds, fee-based financial plans and investment advisor
accounts.
. Performed securities correspondence review.
. Conducted internal investigations and implemented enhanced
supervision when necessary.
. Performed supervisory inspections of district and detached
locations.
. Maintained agency records including advertising and
correspondence files, complaint files, employment and licensing
files, new account and transaction review records.
. Approved and monitored private producer securities accounts and
transactions.
. Coordinated and documented implementation and completion of
FINRA broker-dealer continuing education programs.
. Conducted Annual Compliance and Operations Procedure
presentations.
. Obtained Series 7, General Securities and Series 24, Registered
Principal licenses.
Law Offices of Romney Wright, Vienna, Virginia
Law Clerk/Legal Intern, June 1999 - October 2000.
. Researched and prepared legal arguments for appellate review.
. Prepared professional, H-1B, student and work visas for INS
approval.
. Researched and drafted legal memoranda for senior partners
regarding political asylum and other hardship based immigration
petitions.
National Compliance Services, Alexandria, Virginia
Law Clerk, May 1998 - August 1998.
. Drafted sections of manual instructing FINRA broker/dealers on
FINRA/SEC securities registration requirements.
. Co-authored/edited a manual outlining the guidelines required
for banks to facilitate the sale of securities and insurance
products.
Olde Discount Stockbrokers, Atlanta, Georgia
Registered Representative, January 1995 - December 1996.
. Accumulated and managed money line in excess of $8,000,000.
. Developed and maintained client relationships.
. Trained new employees.
. Supervised inner-office banking and back office procedures.
. Conducted candidate employee interviews.
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