Thomas Cannon Email & Phone Number

During my personal sabbatical, I focused on caring for a family member. This time taught me about compassion and the importance of being present.

Nassau, Bahamas, Bs

Led a Capital Markets Risk Modernization initiative, providing strategic support to executives and implementing Jira for project managementWorkstream Leader for a Mutual Insurance client, ensuring operational alignment in a data and reporting transformation projectSenior Business Analyst for a Global Insurance Broker, improved the online Customer Service Portal service delivery by configuring a no-code platform, managing project scope for Core Brokerage Services across multiple business lines

Newark, New Jersey, Us

Protegent Surveillance System: Led development, managing suitability rules to ensure transaction compliance for financial products, including life insurance, annuities, mutual funds, and other investment vehiclesSECBaR Database Oversight: Ensured accurate record-keeping in line with SEC regulationsSystem Redesign: Improved operational efficiency by analyzing and redesigning systems to implement cost-effective solutionsBusiness Requirements Development: Created comprehensive business requirements and user stories, guiding system developers through SDLC and Agile methodologiesUser Acceptance Testing (UAT): Managed UAT to validate system functionality and compliance; produced user documentation for end-usersCompliance Monitoring: Oversaw compliance for 4,000 Financial Professionals through audits and training initiatives

Newark, New Jersey, Us

Played a key role in creating comprehensive business requirements and test plans, overseeing execution to ensure successful project implementationProvided valuable input for system modifications, drafting business specifications to support client-driven enhancementsDemonstrated ability to streamline processes for improved efficiency, generating detailed reports on monthly and quarterly activities for management reviewFostered collaboration between teams to align technical solutions with business objectives, driving overall operational success

Newark, New Jersey, Us

Managed a team of 14 customer service representatives in the Pruco Command Brokerage product areaCommitted to delivering exceptional service to customers and Financial Professionals while maintaining high-quality standardsProvided ongoing coaching on product knowledge, workflow processes, and industry developments to enhance service quality and team performanceSet and monitored individual and team performance goals, utilizing metrics to assess progress and implement Individual Development Plans that align with strategic organizational objectivesDesigned and executed training programs focused on product updates and customer service techniques, resulting in an increase in customer satisfaction scoresFostered a collaborative team environment, encouraging feedback and open communication to drive continuous improvement and meet business needs effectively

Newark, New Jersey, Us

Ensured Pruco Command Brokerage product transactions and account statuses were in compliance with NYSE and NASD regulationsResponsible for managing compliance across a wide range of areas, including extensions, margin calls, over-deliveries, open purchases, breakpoints, short positions, federal calls, overpayments, unauthorized withdrawals, and unsecured debts

Newark, New Jersey, Us

Managed IRA distributions, RMD calculations, and tax reporting for forms 5498 and 1099-R, as well as overseeing journal transactions, death claims, and divorce settlementsActed as a liaison to Business Systems Development personnel to program and implement new systems and enhancements

Newark, New Jersey, Us

Administered and monitored EFT transfers, systematic withdrawals, automatic investment plans, and internal transfersExecuted mutual fund trades to resolve automated daily failure exception reportsReconciled positions between Pruco Command Brokerage accounts and Prudential Mutual Fund Services accounts to ensure seamless client transfers