Financial Professional
Resume:
Keisha D. Ray **** Wickford Court, Crofton, MD ***14
H 908-***-****/ O 973-***-**** ******.***@**********.***
Qualification Profile: Over 10 years of progressive responsibility accumulated in Agency distribution sales operations, compliance and regulatory controls. Has a keen understanding of the business, the field force, policies and procedures that facilitate successful agency operations. Strong knowledge of Prudential systems including, I- Quest, BQ Snapshot, Agencies Database and MM Portal.
Professional Profile: Motivated Skilled writer
Effective speaker Effective Listener
Multi-tasked oriented Dynamic speaker
Work Experience:
Sr. Analyst, Regulatory Supervision: Prudential
(11/04-Current) Newark, New Jersey
Review of all marketing, advertising, and communication materials that are created by field registered representatives and home office associates to ensure compliance with all regulatory and company requirements for communications with the public.
Submitted and tracked materials submitted to the Marketing Materials Review Unit (MRU).
Determined the necessary Subject Matter Expert (SME) approvals for each piece and ensuring that all sign-offs have been obtained from the appropriate areas (Law, Tax, Compliance, Product Mfr., etc.).
Reviewed the final copy of marketing material to ensure the owner of the material incorporates the necessary changes as required by SME or MRU review.
Communicate with Field and Home Office personnel regarding the marketing materials submitted for review.
Obtained translation certificates from a company-approved vendor for in-language marketing materials.
Provides guidance and assists in the identification, implementation, and maintenance of Prudential’s overall privacy policies and standard procedures in cooperation with Business and Corporate Center lawyers, and Business stakeholders.
Draft compliance alerts, compliance manuals and Supervisory Manuals.
Sr. Analyst, Regulatory Supervision: Prudential
Newark, New Jersey
Serves as the Gatekeeper for all Restrictive Covenant cases.
Responsible for analyzing information and developing a recommendation outlining the appropriate action for a particular case.
Monitoring replacement transactions and corresponding trending.
Conduct surveillance of trading activities in relation to the firm’s watch and restricted list.
Maintain firm’s watch and restricted list.
Conduct compliance controls and reviews addressing financial professional activity.
Responsible for monthly metrics and executive reporting.
Partners with Compliance, HR, Risk, field management, and establishing necessary policies and procedures assisting in policy implementation including training and offering on-going guidance to business unit employees.
On-going guidance to business unit employees for critical functions performed.
Provides guidance and assists in the identification, implementation, and maintenance of Prudential’s overall privacy policies and standard procedures in cooperation with Business and Corporate Center lawyers, and Business stakeholders.
Draft compliance alerts, compliance manuals and Supervisory Manuals.
Assist in responding to regulatory inquiries.
Compliance Analyst: Prudential
Newark, New Jersey
Review of all marketing, advertising, and communication materials that are created by field registered representatives to ensure compliance with all regulatory and company requirements for communications with the public.
Submitted and tracked materials submitted to the Marketing Materials Review Unit (MRU).
Determined the necessary Subject Matter Expert (SME) approvals for each piece and ensuring that all sign-offs have been obtained from the appropriate areas (Law, Tax, Compliance, Product Mfr., etc.).
Reviewed the final copy of marketing material to ensure the owner of the material incorporates the necessary changes as required by SME or MRU review.
Reviewed the final copy of marketing material to ensure the owner of the material incorporates the necessary changes as required by SME or MRU review.
Communicated with Field and Home Office personnel regarding the marketing materials submitted for review.
Obtained translation certificates from a company-approved vendor for in-language marketing materials.
Senior Associate Regulatory Supervision: Prudential
Newark, New Jersey
Developed and implemented procedures and processes to monitor and ensure compliance with the Exclusivity component of the P&C Distribution Agreement established between Prudential and the buyers of the Prupac book of business.
Monitored agent compliance with contractual obligations set forth in Prudential agent agreements, 3rd Party agent agreements, outbrokerage authorizations and Outside Business Activities.
Continuously monitored and conducted outreach to field offices regarding outside appointment data
Administered Annual Errors & Omissions Enrollment for over 4000 Agency Distribution agents
Liaison for Aon and 51 Agency Distribution field offices
Automated E&O reporting process
Authored several Standard Operating Procedures
Education: Anne Arundel Community College
Securities Registrations: Series 6, 26
Computer Skills: Microsoft PowerPoint Microsoft Word
Microsoft Excel Microsoft Windows
Access WordPerfect
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