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DEIDRE BIRK

CONTACT

314-***-****

adz3pq@r.postjobfree.com

Wentzville, MIssouri 63385

SKILLS

• Business Requirements

• Document Review

• Standard Operating Procedure

• Team Development

• Compliance Issues

• Compliance Reporting

• Regulatory and Compliance

Understanding

• State and Federal Regulations

• Procedure Reviewing

• Licensing Determinations

• Shareholder Relations

• Employee Performance Reviews

• Appraisal Reviews

• Compliance Reviews

CAREER OBJECTIVE

Dedicated executive professional with a distinguished career in the insurance and financial services sector, offering exceptional expertise in ensuring unwavering compliance with federal, state, and local laws, regulations, and standards. A proven leader with a track record of effectively mitigating risk and optimizing operational efficiency through proactive audits and comprehensive compliance reviews. Known for strategic oversight and successful implementation of compliance frameworks, consistently upholding the highest industry standards of excellence. Committed to driving organizational success by blending meticulous attention to detail with a strong focus on delivering tangible results in complex regulatory environments

EXPERIENCE

February 2011 - September 2023

VP Compliance Licensing & Registration

Stifel, Saint Louis, Missouri

• Oversaw a team of 19 Compliance Analysts, directing activities related to insurance and securities licensing, agent appointments, training initiatives, and background investigations for both registered and non-registered agents within the organization.

• Served as the Principal and Designated Responsible Licensed Producer (DRLP) for all four Stifel business entities, and liaising with Departments of Insurance and Insurance Carriers.

• Managed and preserved business entity licenses for all four of Stifel's corporate entities.

• Developed, Implemented and upheld comprehensive record-keeping protocols to guarantee continuous compliance for all Stifel agents a Stifel's business entities.

• Expanded the Licensing, Registration, and Background Investigation department, scaling the team from six analysts to a formidable group of 19 professionals.

• Oversaw the management and upkeep of DTCC feeds for Licensing and Appointment (LNA) and Producer Manager Portal (PMP).

• Designed and executed a robust audit program for vendor and carrier billings, successfully identifying and recovering over $100,000.00 from billing discrepancies.

• Collaborated with Annuity and Insurance Marketing to negotiate and finalize new and revised sales agreements with both new and existing insurance

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carriers. Ensured alignment with Stifel's strategic goals and adherence to internal, FINRA, and Department of Insurance policies and procedures

• Strategically analyzed and interpreted evolving rules, regulations, and guidelines from the Department of Insurance (DOI), FINRA, and the SEC. Orchestrated alignment with current practices or formulated and executed protocols to ensure Stifel's producers remained in full compliance with regulatory requirements.

• Expertly prepared and submitted all mandatory filings mandated by DOI, FINRA, or the SEC, consistently meeting deadlines to prevent potential sanctions or fines.

• Represented Stifel as a liaison in meetings with government agencies to discuss the implications of new legislation on professional licensing standards.

• "Identified and executed targeted training programs to ensure continuous compliance with licensure standards for both my team and Stifel's producers.

• Efficiently managed communication channels between internal teams and external stakeholders throughout the license and certification acquisition process.

• Collaborated closely with external vendors to expedite license and or appointment request processing, and ensured Stifel's adherence to compliance requirements, including additional supervision when necessary.

• Conducted research, selected, and successfully implemented efficient systems for tracking and monitoring the status of licenses, certifications, and trainings.

• Ensured my team had meticulous upkeep of precise records encompassing all license transactions, renewals, cancellations, transfers, and state registrations.

• Effectively addressed discrepancies between state and federal regulations and aligned them with company policies regarding licensing matters. January 1999 - December 2010

Senior Licensing Specialist

GMAC Insurance Company, Inc, St. Louis, Missouri

• Led a dynamic licensing team of five professionals overseeing more than 20,000 multi-state property, casualty, personal lines, flood, and motor club licenses, as well as 50,000 appointments and affiliations for a network of over 500 agents.

• Established streamlined processes and workflows to ensure the prompt and precise fulfillment of company, agency, and agent licensing and appointment requests.

• Identified and resolved licensing approval and background investigatory issues through collaboration with internal business units.

• Proactively supervised and addressed staffing challenges, guaranteeing the continuous availability of licensed and appointed personnel to cater to customers across the United States and its territories.

• Cultivated and fostered productive partnerships with the Department of Insurance across all 50 states and Washington, D.C.

• Established and managed all external vendor relationships involved in the

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licensing and appointment process.

• Ensured strict adherence to company, state, and federal government regulations.

• Formulated and delivered compliance reports to support other business units and executive leadership.

• Collaborated with legal counsel on regulatory developments and effectively conveyed them to impacted business units.

• Collaborated with internal IT teams and external vendors to deploy, improve, and sustain digitized licensing and appointment software. Designed an internal training program for my team and our agents to facilitate seamless integration of new software.

EDUCATION

Bachelor of Science (B.S.) in Business

University of Phoenix, Phoenix, AZ, US

CERTIFICATIONS

• Life, Health and Variable Insurance Licenses in all 50 states and DC.

• SILA Fellow (SILA-F) Designation

• FINRA Series 6 or 7 - In Progress

AWARDS

• 2018 SILA Licensing/Registration Administrator of the Year

• OMR Distributor Chair 2021 - 2023

• IRI Senior Steering Committee Member

• IRI Licensing and Appointment WG Chair

. • SILA Foundation Education Trustee 2011 - 2013

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