MAUREEN CROUCH

1231 NE Martin Luther King Jr. Boulevard

Apartment #520
Portland, Oregon 97232
Home = (503) 719-5625
Cell = (732) 516-8077
mcrouc@aol.com

PROFESSIONAL OBJECTIVE

A motivating position in an aggressive organization that values my Administrative and Operational

knowledge and experience to further the success of the company.

SUMMARY OF QUALIFICATIONS

Diversified experience at MetLife Insurance and Prudential Financial Companies. Areas of expertise
include:

Accounting Controls Auditing Budget & Expense

Business Procedure Analyst Corporate Ethics & Compliance First Line Supervision
Head Office Operations Internal Controls Licensing & Registration
Sales Office Administration Suitability Systems Development

LICENSES/REGISTRATIONS

FINRA Series 6, 7, 26, 51 and 63 Registrations

EXPERIENCE

Prudential Financial
Woodbridge, NJ

DIRECTOR – Centralized Transaction Review Unit 2005 to 2009

Managed and led a team of five specialists and four Associate Managers (RRs) who were responsible
for the good order review and suitability review of Variable Life Products, Variable Annuities and Mutual
Funds.

 Analyzed system information to approve or deny a case for suitability based on risk
to the client, with heightened awareness on sales to “Seniors”, following Prudential,
SEC and FINRA rules and regulations.
 Partnered with, and built business relationships with Managing Directors, Registered
Representatives and Support Staff in Agency Offices.
 Provided excellent, quality customer service when dealing with clients.
 Developed, trained, motivated and guided staff to perform effectively and efficiently.
 Handled Special Projects as assigned.
 Metropolitan Insurance Company
Bridgewater, NJ

MANAGER – Corporate Licensing & Registration 2002 to 2004

Managed eight specialists in the areas of Billings and Financials, State Appointment Renewals, NASD
Daily and Annual renewal activity, Long Term Care and Technical Support.

 Maintained and monitored all aspects of the Financial area for the Department, Auditing
and Compliance and Special Projects. Designed and implemented training and
procedures.
 Developed and implemented a Quality Assurance Program for the Department that
consisted of Metrics and Audits. Results decreased turnaround time from 4 to 3 days
and improved quality and customer service.
 Accomplished an accounting reconciliation for the annual NASD renewal of
approximately $1.7 million. Results ensured recovery of funds from Account
Representatives and accurate accounting for the remaining balance.
 Actively participated in the Corporate 2004 IMSA re-certification which resulted in a
successful renewal.

MANAGING CORPORATE COMPLIANCE CONSULTANT 1995 to 2002

Managed 10 Field Corporate Compliance and NASD Books and Records Review Consultants.

 Actively participated in the more complex compliance review assignments to ensure

adherence to regulations and accuracy of reporting.
 Analyzed data from information systems to assess the levels of compliance risk and
exposure following MetLife, SEC and NASD rules and regulations.
 Developed solutions to problems or difficult situations that were encountered during the
course of the review.
 Instrumental in developing Compliance reviews of the Regional Offices. Designed and
offered training for all consultants.

FINANCIAL CONSULTANT 1993 to 1995

 Developed and implemented procedural, accounting, and system changes to Individual

Life Insurance and MetLife Individual Sales processes.
 Recommended solutions to identified control weaknesses.
 Identified situations where procedural and control improvements were needed.
 Performed Financial and Operational reviews.

SENIOR GENERAL AUDITOR 1992 to 1993

 Conducted various procedural audits including program design and development.

 Ensured adherence to internal control procedures, compliance with corporate and
NASD rules and regulations and adherence to Generally Accepted Accounting and
Auditing Principles.

BUSINESS CONSULTANT 1990 to 1992

 Identified situations where procedural and control improvements were needed.

 Performed financial and operational reviews in various areas that impacted the
Corporate General Ledger.
 Implemented changes to existing policies and procedures.
 EDUCATION/PROFESSIONAL DEVELOPMENT

Participated in and completed various Management Development courses that included, but were not
limited to:

Business Writing Skills Time Management Coaching for Success

Management Seminars FINRA Registrations Continuing Education
Annual Compliance Meetings Firm Element Training

TECHNICAL SKILLS

Computer Skills: Extensive experience with Microsoft Office, Internet and Intranet.

REFERENCES

Available upon request.