Randy Lynch Email & Phone Number

United States

• Monitored the insurance investment portfolio for three insurance companies within Genworth to ensure compliance with the Board and various state statutes.
• Audited 1000+ rules, monitored portfolio investment, verified they were still required and working correctly, and modified and retired as needed.
• Revamped and clarified existing Code of Conduct training and trained new hires/employees.
• Established an audit cycle of the rules to monitor the portfolio and ensure compliance.
• Monitored the following: pending regulatory changes that could affect Genworth, employee personal trades against the Genworth Restricted List, metrics, and KPIs.

United States

• Integral in the conversion of a new HR system by leading a cross-functional team to draft and develop a new process for time monitoring for non-exempt employees. Trained management and employees in the new system.
• Identified control points where breakdowns could occur in existing HR processes and collaborated with the process owner to monitor and enhance controls.
• Audited and reviewed the 403(b) processes, ensuring compliance with plan documents and federal statutes.
• Monitored and ensured employees had necessary mandated training in various federal, state, and city entities.
• HIPAA Compliance: Monitored employee HIPPA training and liaised with vendor to implement policies and processes.

United States

• Provided ongoing regulatory and compliance support to Antares’ Broker-Dealer, Investment Adviser, and fixed-income loans.
• Led implementation of new compliance systems, including researching and evaluating programs, arranging demos, equipping IT with required security information to ensure compliance, selecting a program (My Compliance.
• Developed and enforced policies and procedures for its Anti-Money Laundering and Financial Crimes program. As the second line of defense in the AML/KYC process, investigated and resolved issues that arose. Advised the.
• Created workflows to operationalize processes in all departments (HR, Legal, Risk, Operations) by digitizing manual processes in approved systems to meet supervision requirements and creating workflows to track.

United States

• Provided ongoing regulatory and compliance support to GE Capital’s Broker-Dealer.
• Monitored and reviewed Registered Representative communications to ensure compliance with FINRA and GE policies.
• Notified and tracked training requirements for Registered Representatives.
• Digitized manual processes in approved systems to meet FINRA supervision requirements. Looked at the FINRA rules to determine whether our current policies and processes met the requirements that needed to be modified.
• Developed and enforced policies/procedures for GE Anti-Money Laundering, Financial Crimes, and Insider Trading programs.
• Coordinated exams/requests made by banking and securities regulators (e.g., FDIC and FINRA) and internal/external audits.

United States

• Developed and enforced the company’s policies and procedures for its Insider Trading compliance program.
• Managed a team of 2 (remote and on-site) that monitored trades of Transaction Restricted Employees for GE Capital Americas.
• Disciplined employees for violations of the GE Capital Transaction Restricted Employee policy.
• Established digital process to manage security additions/removals from the GE Capital Americas Restricted Security List.Created audit processes to verify whether a security needs to remain restricted. Partnered with.
• Provided subject matter expertise on regulatory and industry standards with respect to supervision of adviser activities, as well as made recommendations for appropriate controls and necessary documentation.
• Provided subject matter expertise on Anti-Money Laundering / Know Your Customer

United States

Bs

Education record

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