Compliance Professional
Resume:
Eric Sundman
adilep@r.postjobfree.com
Work Experience
PHONE
Compliance Analyst
Adecco Consulting
Credit Suisse
Feb 2019 - Present
Morrisville, NC
§Answer employee emails and calls of questions about Credit Suisse/Regional Personal Account Trading procedures and rules Skills
Audit
Compliance Corporate
development
SQL
Risk Management
FINRA SIE
Education
§Work with Sr Management on developing new tools and best practices to shape current and future policies.
§Provide regular testing of Personal Account Trading procedures and information along with providing monthly figures to regulators and internal audit.
§Approve/reject approximately 500-750 brokerage accounts per month along with 40-60 Outside Business Investments/Activities per month while adhering to conflicts management and KYC/AML procedures. A.A.
Hospitality
Berkshire Community College
Sr Variable Associate
New York Life
Mar 2016 - Nov 2018
New York, NY
B.S.
Accounting
University of Massachusetts
§Answer 75-100 Phone calls from agents, clients and other interested parties regarding Variable Life Insurance and Variable Annuity contracts using fraud authentication protocols
§Execute buy, sell, and transfer orders within client’s variable life/annuity accounts either by form instruction or phone instruction
§Lead customer service organization to develop innovative system and procedure enhancements using data driven analysis and optimizing internal technologies.
Financial Professional
Prudential Financial
Apr 2014 - Mar 2016
Warren, NJ
§Make 40 outbound service calls per day to perspective clients and current clients regarding their Life, Health. Home, Auto Insurance and Retirement needs and make sure that clients understand the costs associated with each product while following KYC and AML procedures
§Created compliant best practices that reduced pending new business from timing out by 25% company wide.
§Developed individual long-term financial goals with perspective and current clients to best meet their current and future needs.
Accomplishments
Team lead at New York Life implementing chat bot for agents to generate forms 2nd place in 2017 NYL Hackathon. Augmented Reality form reader Lead at Prudential Financial with Life Insurance Checklist to reduce policy application timeouts.
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