Customer Service Quality Assurance
Resume:
Anjali Mathur
Sugar Land, TX 77479
281-***-****-Home
281-***-****-Cell
Professional Overview
A solution focused Compliance and Operations Officer with over eight years of experience overseeing the daily compliance and operational functions pertaining to Annuity state regulations and standards. Recognized for being both reactive to developments in the regulatory and governance environment and proactive in areas related to compliance education, implementation and training. Highly adept at maintaining and exceeding operational standards.
Professional Experience
American General Life Insurance Company (AIG), Houston, TX
Associate Director of Operations and Compliance, December 2002-September 2011
• Directed multiple functional areas across the Annuity Operations Department; including the call center, customer service, compliance, quality assurance and tax reporting. Oversight of over 60,000 in force annuity contracts, and over $500 million in sales for 2010.
• Set aggressive, challenging goals that supported organizational goals and strategies.
• Developed plans for managing, retaining talent inside the department and for improving leadership strength.
• Conferred with regional vice presidents, internal wholesalers, and internal marketing organizations to increase annuity sales, adhere to company compliance standards, and offer optimum customer service.
• Collaborated with Sox auditors and internal auditors to ensure departmental procedures complied with Sox and internal audit guidelines.
• Collaborated effectively with the Chief Compliance Officer and the compliance department in the design, implementation, and management in all areas of compliance, including firm policies and compliance with all state regulations.
• Implemented Suitability and Anti-Money Laundering procedures to comply with and adhere to state regulations.
• Coordinated responses with multiple departments on state market conduct exams for state examiners.
• Implemented an effective compliance testing region ensuring compliance with various regulations which resulted in mitigating any regulatory risks and building client confidence in the firm and its products.
• Reviewed and approved financial and non-financial disclosures to ensure compliance with state regulations.
• Actively participated in conferences and other educational opportunities in order to stay abreast of changes in regulatory requirements.
• Collaborated with the tax department to ensure yearly annuity tax reporting results in optimum client satisfaction.
VALIC (AIG), Houston, TX
Marketing Analyst, January 2002-August 2002
• Prepared standard, complex bids, and request for proposals for prospective clients for the client’s retirement plans.
• Consulted with regional representatives, consultants from third party administrators on a regular basis regarding company services, products, the client’s education programs, and customer service requests.
• Worked within a team environment to ensure the quality of work being presented to prospective clients.
VALIC (AIG), Houston, TX
Consulting Pension Administrator, January 1999-January 2002
Senior Pension Administrator, Team Lead, May 1998-January 1999
Pension Administrator, February 1994-October 1995, August 1996-May 1998
• Managed highly productive teams of eight administrators with a caseload of 140 pension plans. Average population of plans; 2000 lives, with over $900 million in assets at VALIC.
• Developed and provided training, counseling and performance reviews for employees.
• Analyzed, interpreted, and prepared pension plan documents to comply with ERISA, IRS and DOL laws.
• Tested plans, including 403(b) plans for all applicable compliance testing, and filed 5500’s as required.
William M. Mercer, Inc., Houston, TX
Benefits Analyst, September 1992-October 1993
• Interpreted plan documents to perform manual and computer generated benefit calculations, aiding in prompt and accurate benefit plan administration, resulting in strengthened client relations.
• Utilized organization and problem solving skills to prioritize and complete multiple benefit calculations, consistently meeting stringent deadlines.
Projects American Corp, Houston, TX
Accountant, August 1990-September 1992
• Trained and supervised employees in all phases of Accounts Receivable, resulting in high proficiency and improved departmental operations.
• Utilized analytical skills by researching and resolving a variety of Accounts Receivable and Accounts Payable problems.
• Assisted in preparation of financial statements facilitating timely presentation of financial results.
Special Skills
MS Office, Vantage Mainframe system, Navisys Annuity Payout System, AWD
Education
MBA: Major-Finance, Minor-Marketing, University of St. Thomas, Houston, TX 1988
BBA:Major-Management. University of Houston, TX 1987
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