Sales Office

Daniel J. Kearney

** ********* *****, **** *******, CT 06424

Telephone: 860-***-**** / Email: **************@*****.***

EXPERIENCE

****-******* **** *********, ********* Audit Services – Corporate Office, Windsor, CT

AVP Senior Compliance Risk Specialist (2013-present)

Compliance Risk Specialist (2012-2013)

Senior Auditor (2010-2012)

• Act as lead auditor on operations and sales practice audits involving Voya’s registered

investment advisors and broker-dealers

• Develop and implement test programs to satisfy periodic, independent anti-money laundering

program audit requirements of Voya’s financial institution, broker-dealer, and insurance subsidiaries

• Interact with senior management regarding compliance related audit issues

• Monitor regulatory and legislative developments to identify emerging compliance risks and

provide updates to the Corporate Audit Services department

• Provide compliance related training to the Corporate Audit Services department

• Participate in the annual, firm-wide risk assessment process in regard to compliance risk

• Provide compliance risk support as needed to Retirement Services audits

• Perform testing on assigned audits within the Retirement Services organization

2008- 2010 Voya Financial Partners, LLC (VFP) - Corporate Office, Windsor, CT

Senior Compliance Consultant

• Provide guidance on the design, implementation, and monitoring of new advisory products

and services, including wrap programs, managed accounts, and financial planning

• Maintain and update VFP’s Code of Ethics to reflect changes in business practices and

regulatory developments

• Oversee the annual and quarterly securities reporting process required by the Code of Ethics

• Maintain VFP’s Form ADV Parts I and II and Disclosure Brochures required by Rule 204-3

• Conduct risk assessments of VFP’s investment advisory activities

• Review the adequacy of VFP’s policies and procedures and test the effectiveness of their

implementation in accordance with Rule 206(4)-7

• Provide compliance support to VFP’s Investment Selection, Best Execution, and Due

Diligence Committees

2005-2008 Mass Mutual Financial Group - Corporate Office, Springfield, MA

Senior Compliance Specialist (2007-2008)

Compliance Specialist (2005-2007)

• Develop and implement review programs for Mass Mutual’s broker-dealer subsidiary to meet

FINRA Rule 3012 and Investment Adviser’s Act Rule 206(4)-7

• Provide written reports to management detailing the results of internal reviews and make

recommendations for improvement

• Train departments within the broker-dealer on current regulatory requirements and initiatives

• Act as Compliance Department contact for Securities Brokerage Department and RIA area

• Provide education to the Securities Brokerage Operations Department on MSRB Real Time

Transaction Reporting System and FINRA’s TRACE and OATS systems

• Provide guidance on the development of internal supervisory control procedures

• Act as Compliance Registered Options Principal (CROP) for MML Investor’s Services, Inc.

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2000-2005 Advest, Inc. - Corporate Office, Hartford, CT

Supervisory Compliance Officer (2003-2005)

• Develop and implement compliance review programs for institutional equity and fixed

income sales as well as review programs to meet FINRA Rules 3012 and 3130

• Oversee the compliance review process and supervise and provide feedback to the Registered

Product Specialist

• Act as Compliance contact for Research and Investment Banking Departments

• Educate the Capital Markets Division and Institutional Sales via email, intranet, and group

presentations

• Work directly with Self Regulatory Organizations during annual audits of the Firm

• Developed internal policies and procedures to meet requirements of the Global Research

Settlement

• Develop and/or revise other policies and procedures as needed

Registered Product Specialist (2000-2003)

• Conduct regulatory and compliance reviews of product areas within the Firm

• Recommend corrective action needed to address deficiencies identified during the

review/audit process

• Act as Compliance Liaison to product areas

• Respond to regulatory inquiries regarding product areas

1999-2000 Lincoln Financial Group - Corporate Office, Hartford, CT

Compliance Manager

• Provide daily compliance support to field partners

• Review audit reports for assigned offices to identify and assist in implementing appropriate

corrective measures to address noted deficiencies

• Assist field offices by providing appropriate compliance training programs

• Coordinate home office reviews of new marketing initiatives and outside business activities

1997-1999 Advest, Inc. - Corporate Office, Hartford, CT

Senior Market Surveillance Specialist (1998-1999)

• Ensure compliance with federal security laws by monitoring trading activity

• Review potential securities law violations and correspond with appropriate regulators

• Investigate and resolve compliance issues through timely communications with Branch

Managers, Financial Advisor Executives, and other departments

• Monitor changes to the U.S. Treasury Department’s OFAC lists and research potential name

matches with customers of Advest

• Support and train employees in the Market Surveillance Specialist position

Market Surveillance Specialist (1997-1998)

• Monitor daily reports for violations of state “blue sky” laws

• Communicate with Branch Managers and Investment Executives to resolve “blue sky” issues

• Monitor compliance with the NASD’s “free-riding and withholding” interpretation

EDUCATION Eastern Connecticut State University - Willimantic, CT

Bachelor of Science Degree in Business Administration with a concentration in Finance

PC SKILLS Windows, Microsoft Word, Excel, and PowerPoint

Bloomberg fixed income functions

LICENSES/CERTIFICATIONS

CFIRS – Certified Fiduciary Investment Risk Specialist, Cannon Financial Institute.

FINRA Series 4, 7, 8, 24, 53, 55, 63 and 65

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