Sales Insurance

DOUGLAS E. ISRAEL

**** ****** ******, *** *****, CA 92109

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

(Phone) 858/997-4364

Seasoned legal and compliance expert with over fifteen years of combined

experience focusing on: Regulatory compliance, business development,

business administration and management, contract procurement and

administration, corporate filings, corporate compliance, insurance and

securities regulation, civil business litigation, insurance defense, and

other related financial, business, and legal services. Exceptional

negotiation and drafting skills, extremely organized, and diligent with

large volumes of intake. Excellent with on-the-spot decision making,

negotiation, project management, auditing, and outstanding legal research

abilities working with both internet and textbook based mediums.

LEGAL AND COMPLIANCE EXPERIENCE:

Asset Marketing Systems Insurance Services, LLC - San Diego, CA

June 2004 - May 2009

Regulatory Compliance and Contracts Manager

- Compliance: Provided high level support, research, and counseling

to the company's CEO, CFO, COO and various corporate Vice Presidents

regarding: (i) FINRA and SEC broker-dealer compliance issues with regard to

internal broker-dealer audits, and the marketing and advertising of

securities and structured and institutional products; and (ii) state

insurance compliance issues for the advertising, marketing, solicitation

and sale of fixed and fixed-index annuities, life insurance, and long-term

care insurance, including, but not limited to, state specific regulatory

filings, anti-money laundering reporting and training, suitability

requirements, agent licensing and appointments, agent/consumer complaints,

advertising and marketing regulations, financial privacy, disclosure

requirements, commission arrangements, HIPAA regulations, Sarbanes-Oxley

compliance, and other legal and/or regulatory issues. Provide internal

support for all intellectual property issues including copyrights and

trademarks. Responsibilities also included drafting all corporate

compliance bulletins, responses to inquiries from state insurance

departments and FINRA, compliance newsletters, memorandums, and internal

policies and procedures. Assisted in the development and creation of

compliant sales and marketing materials including, seminar scripts,

PowerPoint sales presentations, informational brochures, sales literature,

mailers, software, handouts, and other sales materials used in the

solicitation and sale of securities and insurance products. Functioned as

the liaison between directors of the company and outside legal counsel.

Responsible for litigation case management for the company.

- Contracts: Negotiated, drafted, evaluated, administered, and

tracked all corporate vendor contracts, agent licensing contracts, product

contracts, insurance carrier contracts, software licensing agreements,

nondisclosure agreements, non-compete agreements, work for hire agreements,

consulting agreements, joint venture agreements, option agreement,

strategic alliance agreements, employment contracts, independent contractor

agreements, authorizations and releases, letters of understanding,

operating agreements, and other service agreements.

- Risk Assessment: Accountable for the evaluation of potential

partnerships, joint ventures and other business building strategies to

identify and expose potential corporate risks and liabilities by conducting

extensive background investigations with regard to third party corporate

entities and their principals and intensive research and analysis of the

business relationship taking into account relevant laws, regulations and

legal principals. Assessed, identified, and advised senior management about

potential liabilities and inherent risks involved with newly developed

corporate business strategies in an effort to minimize corporate

liabilities. Evaluated agent sales tactics, partnerships, and business

development plans to expose potential regulatory and legal liabilities.

-Corporate Development: Accountable for the development of corporate

business strategies through the development of subsidiary and sister

business entities, acquisition of third party entities, partnership

arrangements, inception and implementation of new product lines including

institutional and retail financial related products, and securing

exclusivity arrangements between the company and third parties to enhance

corporate strongholds in the financial and insurance industries.

Responsible for the drafting, implementation, and training of internal

corporate policies and procedures.

American Specialty Health Insurance - San Diego, CA

January 2003 - June 2004

Regulatory Compliance Specialist

Provided high level support to CCO regarding regulatory compliance issues

including: Regulatory Product Form Filings, Product Development, Licensing,

Marketing, Advertising, Sales, Utilization Review, Claims Payment, Privacy,

Anti-Fraud Programs, Group Contracts, Network Management, Plan Design,

Provider Contracts, Provider Credentialing, Appeals & Grievances and other

legal and compliance issues.

Lorber, Greenfield, Polito & Pengilly, LLP - Poway, CA

June 2001 - March 2002

Law Clerk

Provided legal research and litigation support for all associates focusing

on construction defect and insurance defense. Drafted points and

authorities, motions to compel deposition, protective orders, motions in

limine, responses to interrogatories, requests for production, requests for

admissions, inter office memoranda, and page-line summaries. Responsible

for client contacts and the updating of client matrixes and files.

Purdy and Herron, a Law Firm - San Diego, CA

June 1992 - June 2001

Paralegal/Law Clerk

- Legal: Provided legal research and litigation support for all

associates focusing on civil business litigation, contracts, insurance,

bankruptcy, and debt recovery. Drafted inter-office memoranda to senior

partners regarding novel and detailed legal and regulatory issues.

Responsible for the initial file review, supporting research, and drafting

of motions. Conducted 341(A) meeting of creditor hearings in Federal

Bankruptcy Court. Responsible for client contacts, scheduling, and updates

through phone, letter, and e-mail correspondence. Responsible for all on-

line filings with courts. Reconciled contract negotiations focusing on

purchase and sales contracts. Assisted with trial preparation and drafting

of pleadings. Provided all computer technical support for inter office

hardware and software systems.

- Technical Support: Responsible for innovative techniques to

streamline office efficiency. Established new revolving accounts with

outside sources for effective research and filings. Responsible for

training all office personnel the new systems and programs. Integrated new

on-line research and filing

systems into firm procedures. Integrated and maintained system network.

TECHNICAL SKILLS:

MS Word, PowerPoint, Excel, Outlook, Word Perfect, Corel Office, Microsoft

Office, Adobe Acrobat,

Elite, Edgar, Pacer, SERFF, NILS, NIPR, HiWire, Lexis-Nexis, WESTLAW, Pro-

Comm.

EDUCATION:

THOMAS JEFFERSON SCHOOL OF LAW - San Diego, CA

May 2002

Juris Doctor - Cum Laude

HONORS:

- Distinguished Honor Roll - Fall 1999 - American Jurisprudence

Award for Civil Procedure - Fall 1999

- Civil Procedure 4.0 - Fall 1999 - Honor Roll - Fall 1998,

Spring 2000, Fall 2000, Fall 2001

- Constitutional Law 4.0 - Spring 2000 - American Jurisprudence

Award for Criminal Procedure - Fall 2001

- LSAT Scholarship - Witkin Award for Academic

Achievement - Fall 1999, Fall 2001

- National Dean's List - 1998, 1999, 2000, 2001 - Cali Award for

Future Excellence - Fall 1999, Fall 2001

- Trustee Scholarship for Academic Achievement

SAN DIEGO STATE UNIVERSITY - San Diego, CA

May 1997

Bachelor of Arts, Political Science / Minor - English

TRADE ASSOCIATION MEMBERSHIPS:

. Member of the Association of Insurance Compliance Professionals (AICP)

PROFESSIONAL LICENSES:

. California Resident Life and Disability Insurance License (#0F58932)

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