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Administrative Assistant Compliance Analyst

Location:
South Windsor, CT
Salary:
$22 per hour
Posted:
March 29, 2023

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Resume:

Ann-Marie Germano

** ****** *****

South Windsor, CT 06074

860-***-****

SUMMARY

A Customer Service and Sales Support Professional with extensive experience working with various distribution channels to provide “subject matter expert” and “service support” in the insurance industry. Known to be of unique ability to build relationships, be a quick learner, and have a track record of adapting quickly to new situations. Held both Series 6 and Series 26 insurance licenses.

Core competencies include:

• Problem Solving

• Cross Functional Coordination

• Analysis/Research

• Producer Relationships

• Customer Focused

• Product Knowledge

• Follow-Through

• Training

• Detail Oriented

• Simplifying Communication Documentation

• Compliance Analyst

• State and Federal Regulations

KEY ACCOMPLISHMENTS

• Acted as primary contact for department with third party marketing survey firm. Composed the list of questions for the firm in their outbound calls with selected brokers, clients, and past potential clients. Incorporated/clarified feedback from various departments regarding questions. Set up vendor file with procurement and walked the vendor through procurement and information security requirements and timeframes. Acted as point of contact with the service contract and procured necessary signatures and filed master documents appropriately with Procurement.

• Addressed need for a master commission document detailing the commission schedules of the product from initial launch to present product. Worked with product and actuarial areas to acquire data and then validate accuracy. Put into a user-friendly document for Sales.

• Researched state of general executive Benefit market via web articles and discussion with a knowledgeable external wholesaler to assemble a cohesive written piece detailing some constriction of the market.

• Acted as primary contact for marketing materials being created/updated. Various back and forth with marketing area regarding content and possible layout formats. Able to use my compliance background to successfully contest some excessive disclosure language. PROFESSIONAL EXPERIENCE

MassMutual, Enfield, CT 2008 to 10/2009

Sales Support Consultant, Executive Group Life Department

• Supported two internal/external wholesalers for a niche group life insurance product. Discussed case design, ran proposals, completed underwriting cover documents, and sent out marketing materials.

• Acted as primary department contact for third party marketing survey firm. Completed questions as to be used by firm to assess the product’s strengths/weaknesses and its market.

• Acted as liaison to marketing department on re-design of marketing materials.

• Created master commission document detailing commission schedule for past and present offerings filling a necessary void in documentation of product.

• Composed Survey Monkey to use with brokers to assess the strength of the internal wholesalers.

• Created a fillable form for use with Sales/Underwriting/New Business, creating smoother workflow.

• Updated Agent Plan PowerPoint for home office participants. Created hand-out for participants to facilitate their understanding of illustrations.

Ann-Marie Germano 860-***-**** Page 2

The Hartford, Windsor, CT

Customer Advocate, Customer Advocacy Team 2007 to 2008

• Initiated outbound calls to annuity clients for the purpose of educating them on their products and options upon receipt of their requests for partial withdrawals and/or liquidation. Coordinated with the liquidation department regarding conversion efforts.

The Hartford, Simsbury, CT

Compliance Analyst, Marketing Compliance & Best Practices 2006 to 2007

• Reviewed ILD sales literature and advertisement for compliance with NASD, SEC and state insurance department (NAIC) regulations. Worked with submitters of material via email, in person, or via phone to assist them in bringing material into compliance with government and company standards. Addressed questions from submitter regarding comments or procedures.

• Reviewed legislative activity for potential impact to line of business.

• Marked appropriate files for state filing.

Senior Sales Support Technician, Producer Services Department 2000 to 2006

• Answered phones in a national life insurance producer 1-800 call environment. Provided assistance to a wide variety of callers, from novice to advanced life insurance brokers and life insurances sales office staff on life insurance products, concepts, and case design and illustration system navigation. Made recommendations to producers as to which product/design best fit client’s needs. “Ran” illustrations and submitted them to brokers/sales office staff. Updated SalesLogix database with current broker information and illustrations. Informed brokers of Hartford Life program information/processes.

• Researched issues needing coordination among various departments/job responsibilities for their successful completion.

• Trained in-house staff and external field representatives on life insurance products, programs and illustration software, as requested.

The Hartford, Hartford, CT

Assistant Territorial Manager, Bond Claim Department 1997 to 2000

• Managed/adjusted fidelity claims for package policies. Communicated with insureds and principals, insurance agents, police departments, and district attorney’s offices via heavy phone contact and written correspondence. Researched policy information. Analyzed financial documentation in support of claims. Made appropriate payment decisions.

• Analyzed small contractor claims for states of Washington and Oregon. Streamlined procedures. Evaluated 300+ files for collection status, obtaining concluding documentation from outside sources as necessary. Administrative Assistant, Bond Claims Department 1997

• Transcribed various correspondence to insureds, claimants, and reinsurers. SPECIAL RECOGNITIONS

Special Achievement Award Winner, Hartford Life, Individual Life Division, July 2004. Special Achievement Award Winner, Hartford Life, Individual Life Division, July 2003. EDUCATION

B.A. Political Science, University of Massachusetts, Amherst, MA, May 1988 LICENSES

NASD Series 26, September 2006

NASD Series 6, July 2004



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