Customer Service Insurance

OBJECTIVE

Full-time employment or independent contractor assignments incorporating my business

and technical skills.

KEY ACHIEVEMENTS

Implemented Compliance Surveillance Reports for a 1,200 representative

insurance-affiliated broker/dealer relating to trading, mutual funds, field audits,

registration, anti-money laundering, and 3010/3012 testing. Involved in all phases

of implementation including managing projects, analyzing business requirements,

writing technical specifications, testing, creating database applications, and

writing reports.

Designed and developed a customized customer feedback application template for a

major life insurance research organization. The application provides its customers

functionality to generate letters, create reports, and provide a tracking mechanism

for customer satisfaction surveys.

Created a sophisticated field audit tracking application for a broker/dealer with

1600 branch office locations in bank distribution channel. Scrubbed and converted

data from other systems to load into application, conducted needs analysis, performed

business and technical analysis, application development, testing, and report

writing.

Managed complex projects on mutual fund breakpoints for retail broker/dealer

involving (a) establishing project processes and workflows, (b) supervising project

staff of 20+ employees and consultants, (c) designing, developing, and maintaining MS

Access applications for tracking and analyzing client mutual fund accounts, and (d)

reporting to senior management and FINRA.

Developed a unique procurement supplier toolkit to assess supplier risk and risk

controls, conduct and monitor supplier performance, and provide executive management

reporting for a large insurance company managing 1,000 supplier relationships. Led

business requirements and brainstorming sessions, created and tested application

through a staged implementation approach, and automated workflow.

SKILLS

Advanced Microsoft Access design and development

Advanced Microsoft Office

Project Management

Specification Writing and Documentation

Business Requirements Analysis

Technical/Data Analysis

Microsoft Visio & Project

Microsoft SQL

Adobe Acrobat

Programming (COBOL II, JCL, TSO, DYL280)

ACCOMPLISHMENTS

Designed and developed insurance and corporate related MS Access applications

including front-end interfaces, table structure, flexible reporting, data

import/export features, enhancements, and end-user and technical documentation.

State Insurance Product Filings

Broker/Dealer Compliance Tracking

Business Continuity/Disaster Recovery

Field/Office Audit Tracking

Advertising Submission and Review

Procurement Supplier Toolkit

Corporate Compliance Tracking

Agent Replacement Tracking

Manual Check Requests

Managed critical large-scale projects and initiatives for Corporate Compliance

Department. Identified tasks, target dates and ensured implementation completion.

Directed the administration of annual Corporate Code of Conduct and Conflict of

Interest process and Anti-Money Laundering OFAC & FinCen scrubbing process across

life insurance company with multiple subsidiaries.

Conducted feasibility testing for vendor application software.

Performed business and technical analysis for department, corporate, and retail

broker/dealer projects.

Provided technical support in gathering data for insurance and securities regulatory

exams.

Managed department databases to gather and format data for agent replacement tracking

and agent/agency profiles.

Streamlined annual Code of Conduct and Conflict of Interest process to better

distribute and track.

Served as sole system support for tax/1099 processing including federal/state

withholding rate changes, annual statement printing, quarterly reporting,

installation of CheckFree software releases, and problem research.

Overhauled 1099 system replacing custom code with features of vendor application,

including implementing standardized 1099 paper statements.

Provided system support for life insurance reserve system including special

quarterly/annual processing.

EXPERIENCE

Morse Consulting Services, Broad Brook, CT 2006 -

Self-Employed Consultant for Financial Services Industry Present

The Phoenix Companies, Inc., Hartford, CT

Manager, Corporate Compliance Infrastructure 2002 - 2005

Computer Sciences Corporation, Wethersfield, CT

Senior Programmer Analyst 2000 - 2002

Phoenix Home Life Mutual Insurance Company, Enfield, CT

Associate Systems Analyst 1992 - 1999

EDUCATION

The George Washington University, Washington, DC

DEGREE: Bachelor of Arts, Psychology

PROFESSIONAL LICENSES/DESIGNATIONS

FINRA Series 6, 7, 24, 26

Associate of Customer Service, LOMA

Associate of Agency Administration, LOMA

Certified Fund Specialist

ACHIEVEMENTS/TRAINING

Phoenix Employee Recognition Award

Phoenix Leadership & Management Development Program

Phoenix Rookie Analyst of the Year Award

Lotus Notes Application Development I & II

Introduction to Visual Basic

Microsoft Access Intermediate and Advanced

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