• 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.

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) and institutional separate accounts. • 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 changes. • 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.• Served as compliance lead for various business projects working with product development and marketing.

• 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.