Develop and implement compliance practices and procedures for Forest Hills Financial Group, a leading General Agency of The Guardian Life while supporting production and manpower growth. Serve as a resource for all compliance related matters. Registered Representative of Park Avenue Securities LLC (PAS). Securities products offered through PAS, member FINRA, SIPC. PAS is a direct, wholly-owned subsidiary of Guardian. Forest Hills Financial Group is not an affiliate or subsidiary of… Show more Develop and implement compliance practices and procedures for Forest Hills Financial Group, a leading General Agency of The Guardian Life while supporting production and manpower growth. Serve as a resource for all compliance related matters. Registered Representative of Park Avenue Securities LLC (PAS). Securities products offered through PAS, member FINRA, SIPC. PAS is a direct, wholly-owned subsidiary of Guardian. Forest Hills Financial Group is not an affiliate or subsidiary of PAS or Guardian. Guardian, its subsidiaries, agents, and employees do not provide tax, legal, or accounting advice. Consult your tax, legal, or accounting professional regarding your individual situation. Links to external sites are provided for your convenience in locating related information and services. Guardian, its subsidiaries, agents, and employees expressly disclaim any responsibility for and do not maintain, control, recommend, or endorse third-party sites, organizations, products, or services, and make no representation as to the completeness, suitability, or quality thereof. Show less

• Supervised and trained 35 Sales Managers by creating an effective and comprehensive compliance program, including hiring guidelines, securing necessary FINRA licenses and privacy regulations. • Prepared and provided annual firm element and AML training. • Handled customer complaints, worked with Home Office to conduct internal investigations. • Provided management development through one on one coaching as well as group instruction. • Reviewed and approved all agent… Show more • Supervised and trained 35 Sales Managers by creating an effective and comprehensive compliance program, including hiring guidelines, securing necessary FINRA licenses and privacy regulations. • Prepared and provided annual firm element and AML training. • Handled customer complaints, worked with Home Office to conduct internal investigations. • Provided management development through one on one coaching as well as group instruction. • Reviewed and approved all agent contracts and outside business activities. Show less

Managed and improved the compliance review process for all levels of electronic communication, including E-mail Monitoring, Do Not E-mail and electronic record retention. Worked with vendor to improve the effectiveness of the Do Not Call system.• Expanded the Company’s e-mail correspondence review by reviewing and revising the criteria used for a lexicon based search of all electronic communications.• Administered the Do Not Call Program and created monthly usage reports that… Show more Managed and improved the compliance review process for all levels of electronic communication, including E-mail Monitoring, Do Not E-mail and electronic record retention. Worked with vendor to improve the effectiveness of the Do Not Call system.• Expanded the Company’s e-mail correspondence review by reviewing and revising the criteria used for a lexicon based search of all electronic communications.• Administered the Do Not Call Program and created monthly usage reports that enabled managers to track compliance with Company, state and federal DNC regulations which resulted in fewer DNC violations. • Represented Agency Department in all record retention policy decisions. • Partnered with Corporate Compliance and the Office of General Counsel during FINRA inquiries. • Managed Department Budget, reducing costs by 5% per year. Show less

Supported agents and registered representatives in the Long Island General Office by providing the necessary resources to ensure compliance with applicable Company and FINRA requirements. Introduced on site compliance training for new agents and worked one on one with established agents to improve their business plans by including compliance components. • Took the opportunity as the first in house compliance officer in this General Office to introduce comprehensive compliance review… Show more Supported agents and registered representatives in the Long Island General Office by providing the necessary resources to ensure compliance with applicable Company and FINRA requirements. Introduced on site compliance training for new agents and worked one on one with established agents to improve their business plans by including compliance components. • Took the opportunity as the first in house compliance officer in this General Office to introduce comprehensive compliance review programs. • Received the highest compliance review ratings by the Company.• Conducted unannounced Supervisory Interview/Inspections for approximately 200 agents. • Reviewed all registered representative incoming correspondence as well as outgoing correspondence. • Conducted annual Firm Element Meeting. Show less

Managed staff of sales material reviewers to ensure the timely and thorough review of agent and company created sales/training material. Analyzed and reviewed agent/company/vendor created sales literature and marketing materials, including, print ads, direct mail solicitation letters, seminars, phone scripts and agent training material. • Reviewed agent and company created sales material to ensure compliance with NAIC regulations as well as Company policy. • Collaborated with… Show more Managed staff of sales material reviewers to ensure the timely and thorough review of agent and company created sales/training material. Analyzed and reviewed agent/company/vendor created sales literature and marketing materials, including, print ads, direct mail solicitation letters, seminars, phone scripts and agent training material. • Reviewed agent and company created sales material to ensure compliance with NAIC regulations as well as Company policy. • Collaborated with Agency Training Department to create a revamped Agent training curriculum. • Acted as a consultant for the creation of new internet and intranet websites. • Participated in several field review audits. Show less