Susan Korp Email & Phone Number

San Jose, CA

• Controls Manager/Business Operations Director 2002 - 2016MASSMUTUAL FINANCIAL GROUP/METLIFE PREMIER CLIENT GROUP, San Jose, CA
• Trained 40 Registered Principals forming a team that oversaw and assessed trade and email activity in accordance with FINRA, SEC and company guidelines.
• Ensured that assigned OSJ’s (Office of Supervisory Jurisdiction) sales and/or compliance processes were consistent with company policy and insurance and securities rules and regulations
• Analyzed trends in email and trade activity making recommendations to OSJ management and key internal stakeholders where additional controls or corrective action may have been needed.
• Managed the Registered Principals responsible for live radio show surveillance. Consistently good reviews from company compliance on the actions of the team.
• Responsible for the review of the Managers personally produced business and other related supervisory responsibilities.

San Jose, CA

• Business Manager 1995 - 1999PRUDENTIAL FINANCIAL SERVICES, San Jose, CA
• Developed and adhered to a business plan, consistently maintaining expenses within budget.
• Hired and supervised all support staff in the agency.
• Installed and maintained compliance and controls procedures within the agency, achieving above average ratings on the agency’s annual compliance inspections.