Life Insurance Manager

CHRISTINA AMANATIDES

*** ******** ***., ***. **, Harrison, NY 10528

914-***-****, *********@*****.***

Accomplished Compliance Officer with a broad range of experience in directing and ensuring compliance for broker-dealers, banks, asset managers, insurance agencies, and investment advisers.

PROFESSIONAL EXPERIENCE

Compliance Consultant (January 2012 – September 2014)

G.P. Nurmenkari, Inc., Client New York, NY (June 2014-September 2014) Executed due diligence for new private placement products and corporate and individual firm clients in regards to securities promotions and solicitation.

MJ Boyd Consulting, LLC, Client- HSH Nordbank AG, New York, NY (June 2013-August 2013) Performed gap analysis of bank’s Written Supervisory Procedures, firm’s policies and procedures, regulatory responses to OCC inquiries.

Adams Consulting Group, LLC, Chief Compliance Officer – Client-AIG Global Capital Markets, Inc./AIG Financial Services, LLC, NewYork, NY (June 2012 – November 2012) Implemented a supervisory system, updated the written supervisory procedures, Anti-money laundering procedures and the business continuity plan, conducted AML review, KYC, customer identification and suspicious activities reviews, enhanced the audit process for the firm’s branch offices, liaised with regulatory examiners from FINRA in regards to routine inquiries, processed registration requests for the broker-dealer, reviewed email, marketing materials, drafted monthly, compliance supervisory reports.

C&A Consulting, LLC, Chief Compliance Officer/Client – Neonet Securities, Inc., New York, NY (January 2012 – March 2012)

Provided expertise in compliance services to a registered broker-dealer, including 3012 and 3130 certifications, revising and updating Written Supervisory Procedures, trade and OATS reporting review, email surveillance, regulatory inquiry responses, and preparing the firm for a broker-dealer withdrawal.

STOCK USA EXECUTION SERVICES, INC., Carmel, NY (February 2010-February 2011), Vice President/Compliance Officer

Responsible for the successful management of the compliance program for Stock USA. Expertly advised its online brokerage business in the offering of software services for the trading of stocks, bonds, options, futures, and foreign exchange. Efficiently liaised with FINRA and SEC regulators during examinations with very positive outcomes. Further developed the compliance monitoring and testing program as well as surveillance of the business. Greatly enhanced compliance reporting and controls to inform senior management and aid in risk review and assessment.

CITIGROUP PRIVATE BANK, Stamford, CT (May 2006-January 2009) Vice President/Compliance Officer

Led the successful design and oversight of Tailored Portfolio Group’s (TPG) compliance program to manage clients’ investment and trust account portfolios in Fortune 500/blue-chip, international investments, hedge funds and fund of funds. Ensured TPG’s equities and fixed income portfolio managers and traders strictly complied with relevant regulations and internal policies. Championed a comprehensive monitoring and testing program to optimize productivity and efficiency in compliance with internal policies and procedures. Applied dynamic communication skills toward liaising between TPG, the Office of the Comptroller of the Currency (OCC), and internal Audit Risk and Review (ARR) in preparation for regulatory examinations and audits.

CITIGROUP SMITH BARNEY, New York, NY (October 2004-May 2006), Vice President & Manager

Contributed dynamic leadership skills toward directing the 1035 Exchange, Transfer and Review Unit (ETRU), with full accountability for reviewing life insurance and annuity policy exchanges proposed by Smith Barney financial advisors for compliance under the Internal Revenue Code (IRC) Section 1035. Supervised, mentored, and motivated a 4-member team of business analysts, playing an instrumental role in the development of top performing personnel. Exhibited strong communication skills in collaborating with Smith Barney Financial Advisors nationwide regarding annuity products, proposed 1035 annuity exchanges, and administrative procedures.

WINKLEVOSS CONSULTANTS, INC., Greenwich, CT (July 2001-October 2004), Assistant Compliance Director

Strategically planned, coordinated, and led the regulatory and educational compliance program of the broker-dealer, investment adviser, and insurance agency and representatives involved in the sale of corporate and bank-owned life insurance (COLI & BOLI), a hybrid securities and insurance product providing executive benefits. Proficiently compiled, produced, and filed registration statements (Form ADV Parts I and II) and regulatory reports as the Web CRD administrator.

EDUCATION & LICENSES

Juris Doctor - Hofstra University School of Law, Hempstead, NY

Bachelor of Science - Tufts University, Medford, MA

FINRA Series 7, 24, 63 Licensed

Connecticut State Bar Licensed

New York Life, Accident, and Health Insurance Broker License

OTHER QUALIFICATIONS

Actively maintains up-to-date with current FINRA and SEC regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the OCC C.F.R. Parts 9 &12, BSA, AML, OFAC, & KYC regulations. Applies dynamic communication and interpersonal skills toward bolstering strategic, highly effective compliance programs. Strong strategic and decision-making abilities implemented to achieve organizational objectives.

Additional Experience

STOCK USA EXECUTION SERVICES, INC., Carmel, NY (February 2010-February 2011), Vice President/Compliance Officer

Provided written responses to audit findings and examinations of a regulatory nature by both FINRA and the SEC.

Aided in the maintenance of U-4 and U-5 registrations as well as compliance training for all registered representatives, including continuing education.

Amended and maintained the Written Supervisory Procedures and Supervisory Controls and the Employee Code of Conduct and Policy Guide.

Advised management regarding the implementation and enforcement of compliance rules, regulations and policies, including Dodd Frank legislation.

Performed compliance monitoring and testing and produced weekly reports based on findings in order to monitor for prohibited trading transactions and AML issues.

Drafted SARS and updated the anti-money laundering policies and procedures.

Reviewed and drafted responses to customer complaints and submitted quarterly reports to FINRA.

Responsible for risk management in all portfolio margin accounts and all email surveillance.

Evaluated the impact of new regulatory developments and assessed compliance risks for the business.

Performed all KYC, OFAC and AML review and surveillance for all new and existing accounts.

Monitored employee and customer securities trading through brokerage statements and exception reports.

Conducted 314(a) searches for FinCen compliance.

Oversaw daily/monthly OATS, TRACE, TRF, Reg NMS, and short interest reporting to FINRA and requisite corrections.

Reviewed all new accounts against the OFAC country list and SDN individual list for any AML exceptions.

CITIGROUP PRIVATE BANK, Stamford, CT (May 2006-January 2009)

Vice President/Compliance Officer

Proactively identified and resolved all compliance issues regarding equities and fixed income trading breaches, errors and client complaints.

Constantly oversaw and ensured TPG’s compliance by conducting targeted compliance reviews of proxy voting process, due diligence process of third-party service providers, and trading issues with use of exception reports.

Developed and implemented a system to effectively prevent the trading of restricted stocks, in direct collaboration with the IT department, with a Restricted and Watch List of securities.

Drafted TPG’s AML, KYC and OFAC policies/procedures in line with Citi’s BSA guidelines and surveilled all new and existing accounts for compliance with such regulations.

Proficiently developed compliance monitoring, testing and surveillance reports instrumental to supporting senior business leaders and compliance managers in monitoring and effectively managing key compliance issues, including anti-money laundering, while partnering with the IT department on these projects.

Played an instrumental role in educating management and employees on compliance regulations and policies by strategically coordinating and directing an educational and training program and updating the TPG compliance program and intranet website.

Conducted independent, internal compliance investigations; promptly responded to reports of problems or suspected violations and proactively performed corrective actions.

Identified, evaluated, and controlled for all compliance risks through the Citi Risk and Control Self-Assessment (RCSA) report to senior compliance management, and monitored compliance risks.

CITIGROUP SMITH BARNEY, New York, NY (October 2004-May 2006)

Vice President & Manager

Applied sharp critical thinking abilities toward quickly and successfully handling daily surveillance issues and inquiries, internal audits by Audit Risk and Review, and regulatory inquiries/examinations by the NASD and Smith Barney client complaints.

Maximized ETRU Business Analysts’ performance by providing continued training in the applicable regulations, policies, and procedures necessary for the review of proposed 1035 exchanges.

Attended and participated in key annuity and life insurance product meetings, as well as Smith Barney Annuities, Insurance and Mutual Fund departmental and project meetings, to represent the 1035 ETRU.

Effectively improved operational efficiency and quality by resourcefully supervising the maintenance and retention of ETRU documents and records.

Actively supported the ETRU online system redesign and testing with IT colleagues.

Conducted comprehensive research and analysis of the impact of new and revised state insurance laws.

WINKLEVOSS CONSULTANTS, INC., Greenwich, CT (July 2001-October 2004), Assistant Compliance Director

Ensured critical compliance with all applicable NASD, SEC, PATRIOT Act, including AML, OFAC and KYC regulations by implementing and managing a monitoring, testing, and surveilance program.

Handled all aspects of regulatory due diligence and personal securities trading of registered representatives.

Contributed extensive legal and compliance knowledge and expertise toward persuasively negotiating and drafting client sales and service contracts; preparing legal memoranda, corporate resolutions, shareholder agreements, and minutes for corporate board meetings; and creating litigation and arbitration documents, pleadings, and briefs.

Thoroughly evaluated and updated all COLI sales and marketing material to ensure critical compliance with all appropriate regulations and policies.

Oversaw the successful NASD examination of broker-dealer.

Directly supported General Counsel by conducting securities, insurance, corporate and tax legal research and analysis projects on LexisNexis and the Internet.

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