Michael Beaulieu Email & Phone Number

Johnston, Rhode Island, United States

• Review Marketing material to ensure compliance with SEC (Marketing Rule), FINRA, FDIC, and OCC regulations.
• Provide guidance to marketing vice presidents regarding new marketing campaigns and initiatives.
• Created comprehensive training program covering FINRA, SEC, FDIC, and OCC Rules
• Complete reviews of third-party materials to ensure they adhere to bank and broker-dealer policy.

Johnston, Rhode Island, United States

Hartford County, Connecticut, United States

• Prudential Financial / Empower, Hartford, CT Manager/Sr. Communications Specialist 1/2004-4/2024
• Reviewed and approved retail and institutional marketing material to ensure compliance with regulatory and company policies regarding variable insurance products, Mutual Funds, CITs, qualified plan materials (ERISA).
• Contributed feedback to content creators to ensure quality and appropriate compliance with applicable laws, regulations, and corporate marketing standards and file retail material with FINRA as required.
• Provided in-person training or issued written guidance via compliance bulletins to internal audiences on topics such as qualified plans and related products and services, new products/initiatives and or regulatory.
• Evaluated business functions through Risk Assessments to help ensure that the top risks of the enterprise have adequate, working controls.
• Delivered annual in-person compliance training to retirement counselors/sales personnel. Topics included AML, regulatory trends, social media, registration maintenance, gifts and entertainment, and marketing materials.

Hartford, Connecticut, United States

Hartford, Connecticut Area

• Create marketing materials and communication collateral for new products and sales campaigns
• Re-designed or updated old marketing materials with a focus on usage, cost and functionality.
• Manage and coordinate the design, compliance approval, printing, distribution and inventory of marketingmaterials and communication projects.
• Provide ongoing content management and updates for retail financial services segment of CIGNA web site.