Profile 27 years of experience in commission-driven financial services industry with proficiency in all financial products, fostering outstanding client relationships, and steering customers to exceed all sales goals. Considerable Compliance leadership expertise excel in training, mentoring, coaching, developing and directing top-performing personnel. Strong background in compliance, business development, technology solutions, and sales operations. Selected Achievements: * Directed the implementation of the New York Cyber Security Rule and Vulnerable Adult/Trusted Contact Rules within first year of employment with Citi. * Developed and provided compliance ownership and subject matter expertise for 529, Mutual Fund, Annuity, Life, and UIT products. * Responsible for firm-wide analysis and implementation of new DOL Fiduciary Rule at Dimensional. * Developed two SharePoint sites for the tracking of all MetLife Life Policy and Website Requests for the MetLife Enterprise. * Directed the incorporation of the 2001 CSO Tables for all Life Insurance Products, in all jurisdictions, at Nationwide Insurance and re-filed all products via SERFF, iFile, and EDGAR. * Developed and implemented new Universal Life, Long Term Care, Mutual Fund, and Variable Universal Life products in first year of leadership at MetLife. * Co-Managed the 2012 FINRA Exam including the BORAM Report, Branch Examinations, Branch Specific Requests and on-site project management.
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