Mary Hendricksen Email & Phone Number

High-performing, competent and reliable financial services and compliance industry professional with a wide range of skills in regulatory/compliance and customer service with a proven record of success and achievement. Possess excellent interpersonal and communication skills, with the ability to relate well at all levels. Very detail oriented with strong analytical abilities. Self-motivated and goal oriented, always willing to put forth the effort required to achieve superior results. A team player, able to work well under pressure. Series 6/26 FINRA Registered. Associate in Regulatory Compliance (AIRC), Associate Customer Service (ACS), and Certified State Filer (CTF).Responsible for the implementation and oversight of a comprehensive Compliance Program in accordance with all applicable federal and state regulatory requirements.Enhanced company policies and procedures in response to regulatory mandates significantly improving the company's compliance posture achieving an overall superior rating.Designed and delivered a highly effective compliance training program to meet regulatory and corporate standards.Conducted audits of high risk areas and communicated and monitored corrective actions as necessary.Coordinated multiple federal regulatory/internal examinations successfully achieving consistent high ratings.Effectively communicated compliance issues with senior management and board of directors.Monitored company's SEC and registered investment activities (RIA).Monitored compliance with US Patriot Act, including surveillance and anti-money laundering processes.Collaboratively worked with legal; analyzed issues and determined proper course of action for all critical complaints.Served as Privacy Officer adhering to procedural and electronic safeguards to protect client information.

Responsible for managing up to a 12 person customer service team including oversight of regulatory compliance for individual/group life and private placement insurance.Effective team management utilizing individual and key team strengths to build a collaborative team environment.Successfully coordinated the delivery of a comprehensive compliance program in response to SEC Rule 38a-1 requirements; including the development of appropriate workflows and business processes.Managed oversight of regulatory compliance with SEC Rule 38a-1 including privacy safeguards, and anti-money laundering. Coordinated timely responses to regulatory and market conduct inquires including internal audits. Facilitated the development of a quality assurance program resulting in 90% accuracy in transactional processing. Effectively managed broker and client relationships resulting in significant improvement in communications and customer satisfaction. Developed and implemented systemic tracking system to coordinate and manage client information required for regulatory tracking.

Responsible for managing up to a 4 person state filing team for corporate and bank owned individual/group life insurance including private placement products.Developed and implemented state mandate charts used by all disciplines within the group division for easy access and interpretation of mandated benefits which dramatically improved quality of service and increased compliance of mandated benefits.Led filing department into process improvement meetings to improve workflow and communication between supporting departments.Introduced NAIC SERFF submission system which accelerated approval process enabling products to reach markets in a timely fashion.Successfully negotiated with state insurance department regulators to resolve issues and secure approval in a timely fashion. Assessed regulatory and statutory requirements to achieve compliance in product design/contract language and execution.Developed training program for new compliance analysts and conducted in-house training for sales, field and business partners.Coordinated form filings for all individual/group life products, demonstrating solid communication skills with sales, field, client service areas, and senior management regarding form requirements.

Responsible for regulatory compliance for Group/Individual/Small Group Life, Health and Disability products.Liaison with underwriting, product development, sales and marketing in the development of new products.Chaired Group Legislative Committee resulting in effective communication of new mandates to senior management, business areas, sales and field.Performed complex case analysis for large clients with recommendations on options.Successfully negotiated with state insurance department regulators in securing state approval in a timely fashion for Preferred Provider (PPO) Medical and Dental Networks.Project lead for Small Group Product initiative including the drafting, regulatory analysis, filing and development of communication plan for sales and field resulting in high product sales.