Sales Life Insurance

JONATHAN MUNRO

*** ******* ***. ********* **.

201-***-**** (Cell)

*************@***.***

Senior Compliance Professional

Senior Professional with significant experience at major global financial institutions with annuities, life insurance and mutual funds. Strengths include leadership, communication skills and drive.

EXPERIENCE

MORGAN STANLEY SMITH BARNEY, New York, NY 2010 – 2011

Manager. Exchange Trade Review Unit.

Conduct Compliance training for FAs, Operations and Branch staff.

System and procedural development for NYS Annuity and Insurance Reg 60

Principal review of life insurance and annuity transactions.

UBS FINANCIAL SERVICES, Weehawken NJ 2006 – 2010

Director. Principal review of Insurance and Annuities

Principal review of over 20,000 life insurance, annuities, long term care and disability insurance transactions yearly.

Provided research and advice to Legal Dept. for complaint resolution.

Developed and authored policies and procedures for insurance and annuity sales.

Conducted Suitability and Compliance training for Operations and Branch staff.

Trained FAs in sales practice and compliance procedures for insurance and annuities transactions.

Performed marketing review of annuity and life insurance material.

Authored articles for FAs and branch personnel on sales procedures.

SMITH BARNEY CITIGROUP, New York, NY 2003 – 2006

VP. Senior Compliance Analyst. Insurance and Annuities.

Developed and conducted surveillance procedures for annuity and insurance sales.

Worked with Legal Dept. in Regulatory Audits research and resolutions.

Provided M.I.S. monthly reporting for senior management.

Conducted sales practice reviews.

Surveillance of annuity and insurance transactions.

Authored policies and procedures including WSPs and Branch sales practice memos.

Developed firm NY State Reg 60 sales practice and surveillance procedures.

Conducted Suitability and Compliance training for Operations and Branch staff.

Provided research and advice to Legal Dept. for complaint resolution.

Investigated sales practice transgressions and issued disciplinary actions.

Worked on the development of new IT systems for surveillance.

AVP. Compliance Analyst. Mutual Funds

Surveillance of mutual funds transactions.

Developed and maintained databases in Access and Excel to track sales patterns and trends.

Provided guidance to Senior Management relating to sales practices and trends.

Initiated and developed changes to internal rules, regulations and sales practices .

Provide guidance and advice to branch personnel regarding sales practices,

Compliance policies and transactional procedures.

Conducted training for FAs in mutual fund sales practices

MELLON INVESTMENT SERVICES, Ridgefield Park NJ 2000 - 2003

Compliance Specialist

Conducted market surveillance of equities, fixed and variable annuities, life insurance and mutual funds.

Sales practice reviews.

Worked with Legal Dept. during the NASD "A" share Breakpoint Audit.

Performed audits of FAs.

Trained FAs in sales practice and compliance procedures for insurance, annuities and mutual fund transactions.

EDUCATION

Royal Melbourne Institute of Technology, Melbourne Australia

Bachelor of Arts in Communication

Additional Qualifications: Series 7, 24, 66, 63, 6 and 26.

Life Insurance Producer license

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