Insurance Human Resources

KEVIN A. GREEN Chesterfield, MO ***** • 314-***-**** • **********@***.***

Attorney At Law

Licensed in Missouri

Corporate Governance Regulatory Affairs Compliance

Risk Management Litigation Human Resources Training Implementation

Leveraging research and strategy to turn perceived losses into victories.

Intuitive thinker with broad legal experience and a sense of urgency to accomplish the mission. Skilled oral and written communicator; effective in delivering bad news well. Friendly rapport builder; effective in developing productive working relationships at all levels based on professionalism, mutual respect and trust.

Organized, systematic planner with a reliable results focus. Expert researcher and investigator. Conscientious, culturally sensitive team performer with a practical approach, and the ability to lead or follow as the situation requires. Superb negotiator. Accurate and intuitive problem solver; adept at asking insightful questions to obtain critical, complete information and craft comprehensive solutions. Prepared to get the job done right.

LICENSURE & EDUCATION

Missouri Bar licensed

FINRA License 7, 9, 10, 24, & 63 (inactive)

JD, Southern Illinois University–Carbondale, 1996

BA, History, Saint Louis University, 1990

PROFESSIONAL EXPERIENCE

SIMS & BAILEY, LLC, St. Louis, MO 04/2009–present

Attorney, of Counsel

Review, analyze and guide corporate transactional matters for diverse business clients in the health care, technology and funeral industries. Advise and defend corporate clients regarding regulatory compliance issues and lawsuits related to Foreign Corrupt Practices Act (FCPA) and Occupational Safety and Health Administration (OSHA) matters. Supervise paralegal.

Authored comprehensive compliance policies on sexual harassment, employee investigations, OSHA standards, Internet usage and social media for clients.

Submitted suitable plan of compliance for municipality held in contempt by federal court for failure to develop internal procedures for claims of sexual harassment and associated investigations.

Argued (and won) motion to dismiss on behalf of client where plaintiff repeatedly refused to answer discovery and denied defendant the opportunity to conduct any investigation into alleged facts of the case.

ASCENSUS COLLEGE SAVINGS, LLC, Chesterfield, MO 7/2009–1/2015

Institutional Relationship Manager, Missouri

Develop and implement compliance, marketing and budgeting plans for Missouri 529 College Savings Plan. Provide ongoing Plan review to assure alignment with state and federal marketing/sales guidelines. Support marketing initiatives to employers, employees and community-based organizations.

Coordinate with Missouri State Treasurer’s Office to assure overall Plan compliance.

Deliver quarterly and annual Board presentations regarding asset, participant and account growth.

Conduct quarterly Plan reviews, comparing rate of return to those of similar plans on watch list.

SAVVIS, INC., St. Louis, MO 7/2007–3/2009

Senior Corporate Counsel, Compliance

Assured leading global co-location and managed hosting provider’s business policies, practices and procedures aligned with applicable laws and regulations. Guided senior executive leaders on a broad range of legal issues including data protection/privacy (PCI-DS, GLBA, HIPAA, EU Data Directive), FCPA, export/import compliance and other domestic and foreign regulatory issues including environmental protection. Negotiated strategic partnerships. Supervised regulatory team of three.

Developed and administered robust Compliance Program. Advised HR on disciplinary actions, settlement agreements, visa review and personnel policies related to ADA and FMLA.

Compliance / Regulatory Affairs

Managed enterprise-wide rollout and support of compliance technology initiatives. Coordinated with foreign counsel regarding compliance matters in United Kingdom and Japan.

Oversaw licensing and re-licensing for 11 domestic data centers under ISO 270001 and SAS 70 standards.

Supported Board of Directors in preparation, review and SEC submission of Forms 10-K, 10-Q, and 8-K. Drafted Board and committee meeting materials. Guided corporate governance and records retention policies.

Represented the company before Missouri Human Rights Commission and in court regarding civil, regulatory and administrative matters.

Human Resources

Played an integral role in candidate selection for sensitive/delicate positions.

Conducted internal investigations into claims of sexual harassment and discrimination. Performed comprehensive Fair Labor Standards Act (FLSA) review of internal positions.

WACHOVIA SECURITIES, LLC, Richmond, VA 2/2006–6/2007

Vice President of Regulatory Investigations & Litigation

Served as pivotal point-of-contact for regulators and outside counsel regarding compliance issues linked to present and former employees. Coordinated and responded to complex SEC and FINRA investigations including on-the-record hearings that resulted in findings of no wrongdoing by Wachovia and/or its brokers. Managed and supervised 3 paralegals.

Provided principal leadership to Corporate Fraud Investigative Services and Investment Services Groups. Spearheaded internal investigations involving accusations of fraud and/or theft. Oversaw regulatory filings for broker terminations.

Played a key role in investigating and reviewing high-value case alleging fraud against Wachovia and/or its clients.

Supervised internal procedural and documentary audits for the purpose of assessing compliance and legal readiness. Maintained a caseload of 70–80 ongoing regulatory matters.

Regularly provided regulatory interpretation on current and proposed legislation.

EDWARD D. JONES & CO., INC., St. Louis, MO 3/2000-2/2006

Team Leader/Manager of Compliance Background Review & Registration (1/03–2/06)

Partnered with Human Resources to develop baseline criteria for evaluating job applicants. Assessed candidates’ suitability for hire subsequent to job offers. Oversaw the background verification process for licensed and unlicensed candidates hired in the U.S., Canada and U.K. Made retention/termination decisions based on potential legal risk. Managed 7-member team consisting of 6 compliance officers and 1 support team member.

Periodically evaluated and updated the background verification process to assure full regulatory compliance. Responded to preliminary FINRA investigations. Followed up on Department of Justice reports. Attended employee depositions by outside attorneys.

Refined the hiring process to avoid legal issues.

Absorbed the U.K. background verification function; evaluated and selected information sources.

Featured in Insurance Compliance Week (Nov. 2002) regarding advocacy for suitability of client purchases based on age, economic circumstances and goals. Also testified before National Association of Insurance Commissioners on this topic.

Senior Compliance Attorney, Regulatory Group [Insurance] (6/01–1/03)

Monitored 8,500 brokers soliciting and selling insurance policies across the U.S. Established and managed department of insurance relationships in all 50 states. Responded to regulatory and investigative queries by FINRA and/or state departments of insurance regarding brokers’ practices, complaints and activities. Investigated brokers suspected of violating internal policies and/or state or federal regulations.

Relationship Building

Met with 47 state insurance commissioners to open dialogue, enhance relationships and gain trust towards future issue resolution.

Mitigated fallout from sale of $6 million insurance annuity by broker whose license had lapsed by proactively communicating with state insurance commissioner.

Technical Leadership

Participated in performing due diligence on Ireland as a potential market of next entry.

Made frequent presentations to local and national regulatory bodies on supervisory practices and suitability of client purchases.

Advised brokers on strategy and tactics for successful media/regulatory interviews.

Compliance Attorney, Service Team (3/00–6/01)

Answered inquiries by brokers, branch office administrators and attorneys regarding maintenance and operation of securities accounts. Advised regarding unique legal questions and circumstances. Reviewed, interpreted and responded to legal documentation from attorneys and courts throughout the U.S.

Conducted initial investigation and assessment of brokers charged with violating internal policies and/or federal and state laws. Responded to subpoenas and prepped brokers for depositions. Crafted and instituted new operating policies to reduce legal risk and liability.

CALDWELL & SINGLETON, LLC, St. Louis, MO 5/1998-3/2000

Litigation Associate

Played an instrumental role in starting up Litigation Department. Interviewed prospective clients and evaluated their causes of action in terms of liability and likely outcomes. Argued cases at the federal, state, municipal and administrative levels.

Achieved 49% increase in settlement size and awards over previous year, 1999.

Conducted embezzlement investigation resulting in perpetrator’s prosecution and conviction.

Conducted 50 depositions of clients, health care personnel and witnesses.

SERVICE LEADERSHIP & AFFILIATIONS

Board of Directors for Rx Outreach

Brother, Lights of Alpha Project

Alpha Phi Alpha Fraternity, Inc.

Volunteer Guest Speaker, Junior Achievement

Mound City Bar Association • American Bar Association • National Bar Association

Contact this candidate