Christopher T. McCarthy

*** **** ****, *******, **. 06232 860-***-**** (H) ac0k1x@r.postjobfree.com

OBJECTIVE:

Experienced, creative, highly organized and proactive Compliance Analyst and Project Manager. Demonstrated return on investment with a focus on accelerated project delivery, advancing business process and procedures, driving results and optimizing functional efficiency. Diverse background with a strong record of achievements, product knowledge and a skill set with proven professional history of quality objective execution on or ahead of schedule and with solid adaptability to change.

SPECIALTIES:

Business Analysis

Marketing Strategies

Process Improvement & optimization

Product Management

Project Management (Six Sigma focus)

Quality Assurance

Regulatory & Compliance

Researching

Strategic Planning

System Implementation and development

Training Administration

TECHNICAL EXPERIENCE:

Brainshark

Hearsay Social/Systems

HP Autonomy

Lotus Notes

Microsoft Office

Microsoft Project (Intermediate)

Microsoft Visio (Process Engineering)

Morningstar

Qvidian

Salesforce

Socialware

EMPLOYMENT HISTORY:

Prudential Retirement 9/2011-12/2016

Hartford, CT

SR. Analyst

Regulatory Supervision

Key Accomplishments:

Managed content and development governing quality assurance throughout full project lifecycle and compliance subject matter expertise on FINRA, SEC, and DOL regulations driving best-in-class throughout the Marketing organization.

Developed Regulatory standard operating procedures driving Social Media platform optimization.

Audited multi-channel Registered Representative correspondence / communications via Autonomy, Socialware, and Hearsay Social to ensure compliance with both company and industry standards and policies.

Audited Business Development and Client Relations materials / teams to ensure compliance with policies and procedures.

Trained and OnBoarded new Marketing associates on both inter-departmental processes and company product portfolios.

Recognition

Awarded three premier awards, for partnership, collaboration and project work in 2016.

Created and implemented a new compliance procedure for Post Review of Institutional Sales Marketing Materials slashing turnaround from three days to less than twenty four hours.

Instrumental with creation of an LIMRA Award Winning Social Media program, including development and ongoing management of policies and procedures.

Prudential Retirement 5/2008-9/2011

Hartford, CT

Associate Manager / Team Lead

Requests for Proposals (RFP) / First Impressions

Key Accomplishments:

Managed RFP team portfolio driving accurate, compliant, and timely delivery for projects / proposals.

Served as FINRA Supervisory Principal monitoring compliance for Correspondence and First Impressions teams.

Consulted with Sales teams to drive strategic planning and investment goal targets.

Drove the creation of actual and forecasting of financial costing reports building a lens into opportunities for savings and efficiencies.

Documented and provided recurring report-outs on compliance violations and trending to management, Senior Leadership, and Human Resources.

EDUCATION & TRAINING:

Bachelor of Arts in Communication (University of Connecticut, Storrs) 1995

Series 6 and 26 Registrations (FINRA) 2006 & 2008

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