Management Insurance

Carla Rector

Email: *********@********.***

Address: ** ******* ***** *****

City: Wethersfield

State: CT

Zip: 06109

Country: USA

Phone: 518-***-****

Skill Level: Management

Salary Range: $100,000

Willing to Relocate

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

SENIOR COMPLIANCE OFFICER

Targeted Employers: Insurance Companies Financial Institutions Broker Dealer

Profile

A solutions-focused Compliance Officer with 20 years of experience overseeing Corporate Compliance pertaining to State insurance regulatory inquiries and examinations, code of conduct and conflict of interest, compliance infrastructure projects, and broker dealer compliance. Recognized for the following:

Strong management, leadership and motivational skills

Responding quickly to developments in the regulatory and governance environment

Being proactive in areas related to compliance education and training

Identifying gaps and/or risk exposure in operations

The development and implementation of strong systems of checks-and balances

Transferable Skills

Hands-on, collaborative team member, focused and enthusiastic

Thrive on challenges and delivers outstanding results

Able to deal with pressure

Recognize problems, identify solutions, and juggle multiple tasks with consistent results

Proven ability to succeed within high-pressure, challenging, fast-paced environments

Self-starter, dependable and outgoing, with the knowledge to use common sense

Effective communicator, good verbal and written skills

Manage, coordinate and complete projects within strict time and budget constraints

Recognize the end goal and build consensus to achieve success

Professional Experience & Accomplishments

Phoenix Life Insurance Company

Assistant Vice President and Senior Compliance Officer 1992 to Present

Insurance Regulatory and Infrastructure Compliance

Coordinate regulatory examinations, liaison between business partners and regulators

Oversee email archiving, supervision and escalation procedures

Manage code of conduct, conflict of interest implementation, delivery, tracking and reporting results to the Board of Directors

Ad-hoc project ownership and management

Staff management, development training and oversight

Policy and procedure development, implementation, and internal testing to ensure adherence

Ongoing risk management assessment and mitigation

Broker/Dealer Compliance

Responsible for the development and implementation of the Rule 3012 Audit

Provide Support to Broker/Dealer, Law and Compliance teams regarding regulatory matters that entail assisting in the development and publication of reports

Update Written Supervisory Procedures as needed and review at least bi-monthly

Management of and responsibility for regulatory process for Broker-Dealer affiliates including Forms U-5 and U-4

Investigate and respond to various regulatory inquires

Prepare Form U-5 termination language and ensure reporting requirements are met with respect to all disciplinary action

Outside Business Activity (OBA) review

Other professional experience can be discussed during the interview process.

Securities Registration

Series 6, 26, 7 and 24

Education

Bachelor of Science Degree: Business Management and Economics

State University of New York Albany

Empire State College

References

Upon request

Contact this candidate