Sales Customer Service

Mark Kovler

Email: abqg2k@r.postjobfree.com

Address: * ****** **

City: Briarcliff Manor

State: NY

Zip: 10510

Country: USA

Phone: 914-***-****

Skill Level: Director

Salary Range: $135,000

Willing to Relocate

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

MARK A. KOVLER

2 Ryder Road Briarcliff Manor, NY 10510

abqg2k@r.postjobfree.com 914-***-****

GENERAL COUNSEL

Highly knowledgeable and results-driven Attorney and Compliance Officer with extensive experience in numerous regulations including FINRA, SEC, HIPAA, ADA, FMLA, and KYC. Certified Tax Professional with broad background in financial management, auditing, retirement and estate planning, and insurance matters. Respected leader with strengths in hiring, training, and motivating staff members. Strong communication and organizational skills, proven ability to work collaboratively with multidisciplinary teams, and capacity for managing heavy workloads. Demonstrated talents in factual research, investigation, and analysis. Proficient user of MS Office Suite and multiple tax programs including ProSeries and Quicken.

Alternative Dispute Resolution Financial Analysis Legal Research & Writing Document Control

Litigation Strategy Budget Planning & Administration Leadership & Teambuilding Project Management

Policy & Procedure Development Mergers & Acquisitions (M&A) Staff Supervision

Admitted to practice law in Pennsylvania

EXPERIENCE

Specialty Financial Advisors, Inc. Danbury, CT 2004 to Present

General Counsel & Chief Compliance Officer

Originally hired to serve as Sales Director and Seminar Trainer for financial services firm with nearly 100 sales personnel and annual revenue of $26M+. Promoted to executive position based on leadership abilities and compliance expertise. Report directly to President and supervise 39 employees including legal department, field supervisors, and senior sales staff. Advise senior management on all areas of concern including contracts, labor issues, taxes, and M&A matters. Ensure compliance with FINRA and SEC regulations and local, state, and federal laws/rules. Lead staff sales training seminars and instruct employees on compliance issues.

* Delivered significant contributions that enabled company to grow more than 800% throughout tenure including training sales force on marketing and customer relations techniques, introducing college funding and estate planning services, and obtaining funding for company expansion.

* Completed all assigned on projects on time and under budget.

* Drafted company compliance manuals and successfully passed all audits to date.

Diller & Associates New York, NY 2002 to 2004

Associate Attorney

Enlisted to provide compliance expertise for small law firm with 10 attorneys. Oversaw 4 employees including Paralegals/legal support staff. Handled white collar criminal defense and tax matters and functioned as chief compliance and privacy officer for multiple clients in numerous areas such as FMLA, ADA, HIPAA, Patriot Act, and AML. Advised clients on retirement, long-term care, and education planning as well as complex tax matters.

* Drafted policy agreements and statements and implemented privacy standards for customers.

* Performed comprehensive audits of venues to ensure full compliance with all required regulations.

* Developed and implemented effective retirement plans.

Empire Stat, Inc. New York, NY 1995 to 2003

General Counsel & Chief Privacy Officer

Delivered expertise in legal issues, insurance, and tax matters for insurance consulting/IME company with 26 branches nationwide. Directed operations of New York City office, supervising and evaluating performance of 14 staff members responsible for claims review/processing. Counseled Board of Directors on all legal questions in support of expansion from 3 offices in a single state to nationwide footprint. Oversaw creation of customer service department, hiring/recruiting, training, and leading personnel. Conducted company training in multiple areas including HIPAA compliance and bodily injury, workers` compensation, and no-fault (PIP) claims. Managed confidentiality and integrity of company and client records.

* Created staff manuals on HIPAA compliance, drafted employee handbook, and developed all company policy directives and training aids.

* Provided valued advice on compliance issues and business development strategies, personally overseeing expansion to 5 new states and contributing to significant company growth and 10x increase in profits throughout tenure.

* Successfully represented Empire Stat, Inc. regarding complex tax issues.

* Ensured on-time and under-budget completion of all assigned projects.

EDUCATION

J.D., Touro Law School, New York, NY

Served as Yearbook Editor in Chief and Delegate to Student Bar Association

B.A. in Accounting and Industrial/Organizational Psychology, New York University, New York, NY

Served as Yearbook Editor in Chief and Vice President of Student Government Association

Certified Tax Professional

Life, Health, Annuities, and Long-Term Care Insurance Licenses

Series 65, 66, and 7 Licenses (inactive)

Annual Continuing Legal Education:

36+ hours in tax training, IRS and New York State

16+ hours in planning for retirement and elder law, Pennsylvania Bar Association

12 hours in tax and estate planning, Pennsylvania Bar Association

12 hours in ethics seminars, Pennsylvania Bar Association

PROFESSIONAL AFFILIATIONS & COMMUNITY INVOLVEMENT

Pennsylvania Bar Association

New York State Association of Criminal Defense Lawyers

Health Care Compliance Association

National Eagle Scout Association

Boy Scouts of America (BSA)

Serve as Lodge Advisor - Suanhacky Lodge, Order of the Arrow; Legal Advisor - BSA Scholarship/Campership Committee; Member - BSA Chairman Endowment Committee; Health and Safety Coordinator - BSA Camping Division

Peninsula Volunteer Ambulance Corps

Volunteer as Crew Chief and Instructor of CPR and First Aid

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