Luis M.

Luis M. Email and Phone Number

Compliance Operations Manager @ Prudential Financial
New York, NY, US
Luis M.'s Location
New York City Metropolitan Area, United States
About Luis M.

Hi, I am Luis Martinez! My history of success is directly related to my ability to devise and implement company policies, and objectives by collaborating with diverse business units to drive operational excellence, process improvements, and best practices.I am well-versed in identifying, managing, and mitigating risks while coordinating all activities relevant to internal audits and delivering compliance programs in an efficient and timely manner.I am a refined and articulate communicator with an innate ability to foster long-term professional relationships across all levels in addition to educating employees and providing consultations to senior management on compliance issues.Some Areas of my Expertise include:♦ Risk Assessment & Mitigation♦ Project/Program Management♦ Regulatory Compliance♦ Operations Management♦ Policy Development & Implementation♦ Negotiation & Conflict Management♦ Continuous Process Improvement♦ Data Analysis & ReportingPlease feel free to contact me with any thoughts, comments, or questions about my work – I am always interested in making new professional acquaintances.

Luis M.'s Current Company Details
Prudential Financial

Prudential Financial

View
Compliance Operations Manager
New York, NY, US
Website:
prudential.com
Employees:
28358
Luis M. Work Experience Details
  • Prudential Financial
    Compliance Operations Manager
    Prudential Financial
    New York, Ny, Us
  • Prudential Financial
    Compliance Manager
    Prudential Financial Dec 2022 - Present
  • Haven Technologies
    People And Technology Compliance Manager
    Haven Technologies Oct 2021 - Jul 2022
    New York, New York, United States
    In this position, I played an integral part in both HR and compliance units to facilitate various functions, such as creating policies, monitoring regulatory updates, and ensuring best practices. In addition to this, I assisted with employee relations and investigations. I was responsible for devising emergency response measures and business continuity plans. Also, I Implemented multiple legal and compliance frameworks for vendors, including a compliance training platform, regulatory surveillance software, GRC, and contract management system. I efficiently manage legal operations in addition to overseeing external counsel engagements and procedures.• Developed and deployed an enterprise-wide effective compliance training program for all staff members.• Negotiated and successfully onboarded six vendor solutions into the organization.
  • Haven Life Insurance Agency
    Compliance Manager
    Haven Life Insurance Agency Jan 2019 - Oct 2021
    New York, New York, United States
    I upheld the concurrent responsibility of directing various projects relevant to the legal and compliance team while serving as project manager. My main responsibilities also included establishing new and improving existing processes for the legal and compliance team to increase efficiencies for functioning in an agile environment. In addition to this, I assessed compliance procedures, such as AML and OFAC issues, and identified risks as well as analyzed potential defects. I continuously implemented regulatory requirements by collaborating with product teams and key stakeholders. Along with all this, I devised and executed project strategies, implemented work plans, resolved issues, identified risks, and facilitated key decisions.• Delivered all day-to-day compliance projects within set time constraints.• Addressed and acknowledged consumer complaints, while initiating resolutions through corrective measures.• Facilitated product development by delivering operational expertise, while ensuring regulatory compliance.
  • Haven Life Insurance Agency
    Customer Success - Operations
    Haven Life Insurance Agency May 2017 - Jan 2019
    New York, New York
    During this tenure, I developed business rules, timelines, and requirements, while aiding developers in removing roadblocks. I utilized advanced knowledge of products and transactions to deliver technical support, information, and consultations on complex customer service issues. Moreover, I coordinated and executed claim adjustments by leveraging lean and project management skills.• Led migration of 7k life insurance policies from third-party vendor to company's administration system.• Trained associates regarding performance-oriented strategies and customer service techniques.• Provide technical guidance, information and procedural advice on a variety of highly complex customer service issues requiring advanced knowledge of life insurance products and transactions.• Create, coordinate and execute on the claim’s adjudication process for the enterprise utilizing lean and project management skillso Building workflows, processes, and SLAs for waiver of premium accelerated death benefit and death benefit claims (contestable and noncontestable) between Haven Life and MassMutual • Developing, coordinating, and executing on claims and post insurances operational processes and procedures • Resolve specialized/complex, high impact service requests for multiple divisions/products on behalf of the Enterprise.• Focus on quality control, mentoring, training and process improvement• Assist with the hiring process by interviewing candidates for open positions• Created, coordinated and executed Haven Life’s emergency plan with MassMutual’s Emergency Respond team• Lead, coordinate, and recommend the development of policies and procedures to ensure operational objectives are met.
  • Massmutual
    Life Claim Examiner
    Massmutual Nov 2012 - May 2017
    Springfield, Massachusetts, United States
    Selected and achieved results for the Life Claims’ Relationship Manager Pilot where the goal was to decrease lead time, identify trends in errors, and increase the voice of the customer results.Facilitate, Lead, and Manage the Life Claim Problem Solving huddles and sessions as a problem-solving champion. Also, facilitate and lead monthly problem-solving champion meetings for the claims area.Subject Matter Expert (SME) in dealing with Quick Claims, and Social Security Administration (SSA) cases. As a SME I work on updating and creating procedures/workflows as part of continuous improvement.Played a key role in the execution of the imaging rollout as a point of contact for the claim examiners, payors, and management team.Accountable for the collection, processing, and adjudication of complex death and life claims across different life insurance products within high dollar amounts by company guidelines.Determine benefits, risks, and prepare appropriate documents and/or supplementary contracts. Ability to communicate and provide information to beneficiaries, policyholders, agents, and other interested parties in English and Spanish.Ability and knowledge to flex in the processing of “MM” payments when needed.
  • Massmutual Financial Group
    Almma Brg
    Massmutual Financial Group Nov 2012 - May 2017
    Springfield, Massachusetts, United States
  • Massmutual Financial Group
    Life And Disability Representative
    Massmutual Financial Group Nov 2010 - Nov 2012
    Springfield, Massachusetts Area
    Life and Disability Service Center Act as a primary service contact for internal customers, policyholders, and agents Provide information on a variety of customer service issues, requiring knowledge of products and services through our service center phone lines Ensure all requests are completed with integrity and privacy within allotted time frames Adhere to department metrics by exercising time management skills Ensure quality and accuracy on all requests Build and maintain relationships with clients to ensure their confidence in MassMutual as a financial resource.

Frequently Asked Questions about Luis M.

What company does Luis M. work for?

Luis M. works for Prudential Financial

What is Luis M.'s role at the current company?

Luis M.'s current role is Compliance Operations Manager.

Who are Luis M.'s colleagues?

Luis M.'s colleagues are Hannah Okorie, Ying Yeung, Jean Daris, Kim Shahadi, Brinton Parker, Miracle Burgess, Whitney Williams.

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