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Compliance Officer Resume

Atlanta, GA


  • Licensed FINRA Series 6, Mutual Fund and Annuity Representative
  • Licensed FINRA Series 26 registered principal
  • Six Sigma Green Belt (DMAIC) Project Management


Confidential, Atlanta, GA 38a-1 Compliance Officer April 2009 - Current

  • Handle all aspects of 38a-1 compliance activity

Director of Domestic Variable Annuity Operations January 2009 - Current

  • Analysis of operations metrics, reporting and the communication of operations initiatives to the field.
  • Manage day-to-day outsourcing relationship with McCamish Systems regarding the Variable Annuity Service Center.
  • Coordinates with the management of third party administrators (TPA) as it relates to inforce and new business to ensure all functions are conducted within the established timeframe and quality measures.
  • Analyze report and discuss the results with key agency groups to identify methods to improve overall performance.
  • Act as a key point of contact for the Variable Annuity Sales and Marketing team, clients and field force for problem resolution.
  • Produce monthly management reports and other periodic reports as designated by management.

Confidential, Atlanta, GA April 2008 - Current Confidential is a subsidiary of UK based Old Mutual plc, a leading global financial services company with operations in the US, Europe, Africa and Asia. Director of International Variable Annuity Operations March 2009 - Current Product Implementation Manager April 2008 - March 2009

  • Plan and manage new product development enterprise-wide project-related activities, including the implementation of new and existing product development and operational projects.
  • Actively participate in feasibility assessment and implementation of product development and operational initiatives.
  • Develop, maintain and effectively execute project plans throughout the life of assigned project(s) according to the company-wide project implementation methodology and procedures including regular status reporting and periodic meetings.
  • Communicate and manage the scope of the project
  • Create and maintain a project schedule, which defines activities, sequence, dependencies, work effort and duration.
  • Direct and coordinate internal and external project resources from all business units to help them meet deadlines and deliverables as well as ensure effective project launches
  • Track and manage project budgets; including overall operations project budget
  • Identify, analyze, prioritize, mitigate and communicate project risks
  • Define, communicate, implement and monitor quality standards on all project deliverables

Confidential, Secaucus, NJ August 2003 - May 2008 Confidential, a subsidiary of AXA Financial, is among the nation's premier providers of annuity and life insurance products Metrics and Reporting Coordinator May 2006 to May 2008

  • Provide metrics reporting and operational workflow enhancements for entire Operations group
  • Maintain several operational database and tracking tools used daily to monitor productivity and quality metrics providing an effective review of capacity models and ensuring company is staffed efficiently.
  • Provide senior management operational reporting regarding overall activity, capacity modeling, and executive key strategic projects.
  • Train and educate section managers in the collection and use of strategic metrics to identify trends and problem areas
  • Current projects:
    • Updated controls for AXA's production system (Vantage). Modified employee access level and required extensive research on external systems such as Blue Frog, Finetre, and Snap App
    • Upgrading AXA's imaging system (AWD) providing a dynamic real time solution for activity review
    • Review and improve end-to-end cycle time for new business minimizing the time from when a client signs an application to the time they receive an accurate bound contract. Sigma score has increased from 2.4 to 2.7 in 9 months time

Technical Assistant Inforce Processing, May 2005 to May 2006

  • Created a systemic solution to death claim calculations saving time and minimizing human error.
  • Reviewed, calculated, and refunded money to contract holders after Hurricane Katrina.
  • Set up initial SOX controls as well as managing a 38a1 audit.
  • Handled high profile cases for executive management providing enhanced service to high producing financial professionals.
  • Enhanced controls around wire reconciliation process by reconciling every outgoing wire to production system.

Problem Resolution Representative/Tax Reporting Manager, January 2005 to May 2005

  • Streamlined and centralized all 1009R and 5498 tax reporting.
  • Developed a simplified electronic request form saving hours of call time, increased CSR productivity and allowed the firm the ability to track changes through imaging system (AWD).

Customer Service Supervisor/Problem Resolution Representative, July 2004 to January 2005

  • Handle inbound calls from customer service representatives included general product inquiries, procedural rules, and escalated complaint calls.
  • Designed a program that took certain call center statistics (calls handled, ASA, attendance, call coaching scores, and DALBAR) and created an overall "CSR rating" which were used in performance evaluations.
  • Developed a management database that gave the call center management team the ability to set up and remove system access for new hires and terminated employees
  • Redesigned the way cost basis is calculated. This proactive review has saved the firm hours of calls and tax fees.

Customer Service Representative, August 2003 to July 2004

  • The primary function of this role is to handle inbound calls from clients, AXA agents, and third party brokers. During my time as a service rep I was handling approximately 80-100 inbound calls daily. Currently our call center handles 3000-3500 calls daily and has a staff of approximately 65 CSR's.
  • Developed streamlined procedures for interdepartmental interactions within the organization.
  • Created a systemic template saving operational process time as well as increasing call-handling capability of the phone reps.
  • Created a database that allowed for less code lookups. This increased productivity and decreased errors from reading incorrect codes.

Confidential, East Rutherford, NJ October 1997 - October 2002 Plan Administrator

  • Responsibilities included handling of all aspects of plan administration for one qualified 401k plan, two non-qualified plans and one defined benefit plan.
  • Relocation of Metromedia Technologies headquarters from Los Angeles to New York
  • Weekly payroll processing for over 225 employees
  • Organization and maintenance of all employee personnel files
  • Creation of company standardized personnel action form (PAF)
  • Interface with various branches nationwide on health insurance issues
  • Processing of all wire transfers from cash accounts
  • Verifying enrollment requirements and processing enrollment information
  • Processing of all monthly distributions including loans, withdrawals, and final payouts
  • Processing of all monthly plan contributions and loan repayments
  • Interface with vendors, trustees, and record keepers concerning payroll, statements, audits, nondiscrimination testing, and 5500 filings
  • Organization and supervision of nationwide employee training program in conjunction with Fidelity Investments


SKILLS Windows, MS Word, MS Excel, MS Access, MS PowerPoint, MS Project, Lotus 123, QuatroPro, WordPerfect Involved in the use and development of various mutual funds trading systems, Fidelity Plan Sponsor Webstation, Vantage, and Automated Work Distributor (AWD).

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