Jon Duffy Email & Phone Number

Charlotte, North Carolina Area

Charlotte, North Carolina Area

• Manage day-to-day regulatory compliance team for commercial P&C, personal lines P&C and employee benefits. This includes surplus lines and surety businesses. • Work closely with National Practice leaders as well as individual producers and office support staff to develop creative solutions to help drive business• Oversee review of all advertising collateral and coordinate with Marketing team• Provide regulatory guidance, risk assessments and due diligence for new products and services• Manage any regulatory audits, both on-site and desk audits• Oversee all regulatory complaints/inquiries. This includes working directly with various regulators on specific issues.• Work closely with Legal to provide LOB solutions on a variety of issues ranging from regulatory research and changes to contracts and interpretation

Charlotte, North Carolina Area

Managed and performed all audits/testing for general liability (P&C) and warranty/service contract programs written by AmTrust Specialty Program Group (ASPG)

Charlotte, North Carolina Area

• Developed and implemented an audit program for all general liability, warranty and service contract programs underwritten by General Fidelity• Conducted semi-annual, on-site audits of all programs and reported findings to executive team

Charlotte, North Carolina Area

• Consultant to Insurance Group LOB’s in developing products, implementing sales processes and overall risk management for life, long-term care, disability and property and casualty products sold through various bank sales channels• Managed P&C risk associate and processes• Overall risk management/compliance for insurance related e-Commerce business• Overall risk management for direct and telemarketing sales to bank channel customers. This included working with LOB partners as well as third-party vendors to develop scripts, mailers and other sales materials for product development and implementation.

Charlotte, North Carolina Area

• Responsible for compliance oversight of annuity and P&C insurance products sold throughout Wachovia / First Union. This included reviewing sales, responding to complaints from customers and regulators, working with internal partners and reviewing marketing and advertising materials.• Had oversight of all insurance internet-based initiatives. • Developed procedures for annuity anti-money laundering and reviewed all high-risk transactions dealing with annuities.

Charlotte, North Carolina Area

Annuity Sales Support Team Leader• Managed team of 13 internal wholesalers. Responsibilities included coaching, phone monitoring, creating sales campaigns, statistical gathering and analysis, compliance and complaint resolution.• Promoted to Team Leader less than one year after joining Annuity Sales Support desk.Annuity Sales Support Internal Wholesaler• Worked as a phone representative fielding calls from agents, wholesalers, customers, insurance companies and internal departments. • Created sales call campaigns and conducted outbound calls to an annuity sales force of approximately 4,000 agents.

Cincinnati, Oh

• Responsible for fielding agent and customer calls in addition to processing all operations functions (i.e. new business, loans, withdrawals, etc.). Primarily focused on 403(b) retirement plans.• Worked on a traveling conservation/company promotion team. Met face-to-face with existing customers to conserve annuity business and promote a positive image of the company.