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Lawrenceville, New Jersey 08648 302.784.5386

SUMMARY Compliance and Ethics Officer with significant experience in compliance program development and oversight. Highly respected for staff selection, employee development, certification training, lobbying instruction, networking and coaching skills. Brings substantial and logical problem-solving skills, sensitive government relations, effective legal and narrative writing, and strong project planning to regulatory inquiries. Recognized for leading by example. Demonstrated abilities in compliance reviews and training, ethics investigations, and legal and regulatory interpretations.


Vice President, International Insurance Compliance Managed compliance program for international insurance subsidiaries in partnership with the Chief Compliance Officer of International Businesses. Led a team of senior compliance officers in 10 Prudential International Insurance subsidiary companies located in nine countries and directed a home office compliance staff of seven professionals. Reduced in-country fines and penalties through the introduction of compliance and ethics resources as foundations for regulatory challenges while training staff to access a broader array of compliance and ethics tools in order to find solutions to business challenges. Oversaw the development and implementation of local in-country social media policies. This resulted in minimizing illegal, non-regulatory use as well as the early detection and subsequent prevention of misappropriated company material usage by non-employees. Led three annual risk assessments of 11 companies and oversaw completion of 20+ action items that resulted from measuring current practices against company policies and regulatory requirements. Directed compliance teams role in internal investigations in four operations that led to employee or agent reprimands and revision of company compliance policies and procedures. Developed a set of best practice standards tailored to individual company business practices and legal and regulatory requirements within each of nine different jurisdictions as an outcome of an Anti-Money Laundering Program review. Co-developed companys first Global Social Media Policy and assisted in delivering appropriate electronic monitoring tools that enabled multiple business units to simultaneously kick off social media marketing campaigns while managing risks associated with employee and agent use. AMERICAN LIFE INSURANCE COMPANY (ALICO), Wilmington, DE 2005 - 2009

Compliance Director Co-designed / developed a global Corporate and Insurance Regulatory Compliance Program in the home office and launched the program to branches and subsidiaries in 50+ countries while exercising day-to-day oversight of 10 compliance officers working in 20 countries. Delivered two global and regional compliance conferences for 40+ local compliance officers and 15 international attorneys featuring internationally recognized speakers on Corporate Governance and International Corporate Ethics programs.



Performed four annual compliance reviews of company operations in Greece, Russia, Romania and Japan, providing a gap analysis with recommended actions designed to bridge company policies, U.S. laws and regulations and specific jurisdictional requirements. Served as company liaison to Delaware Department of Insurance in first-ever Market Conduct Examination of companys sales, underwriting, claims and policyholder services departments. Over a 13month review period, provided documentation and written responses that culminated in a final report with no adverse findings. AMERICO FINANCIAL LIFE & ANNUITY INSURANCE CO., Kansas City, MO 2000 - 2005

Assistant Vice President and Counsel Planned, launched and directed a growing life insurance Regulatory Compliance Department. Selected, trained and supervised staff in clearing regulatory hurdles imposed on product development, filing and implementation. Oversaw compliance reviews of companys top agencies and developed presentations on corrective actions needed to bring such operations into compliance with state laws and regulations. Improved product approval process timeline by training on how to negotiate with insurance department regulators. Provided compliance assessment / guidance about changing legislation / regulation impact on company markets, leading to projected changes in market forecasts.


1990 - 2000

Assistant Vice President, Manager of Regulatory Compliance 1995 - 2000 Managed 20 agent licensing, product development / filing and ISO reporting professionals for a start-up property and casualty insurance company associated with Employers Reinsurance Corporation. Administered $1.5 million dollar budget and oversaw consulting work / expenses conducted in India and Mexico. Created companys first compliance operation to coincide with the creation of new direct lines commercial property / casualty company. Acted as primary contact to state insurance department regulatory staff for negotiations on product filings, complaints and reviews by regulators. Assistant Secretary and Counsel Staff Attorney 1993 - 1995 1990 - 1993

EDUCATION Juris Doctor, University of Missouri, Kansas City, MO M.S., Urban Affairs, University of Wisconsin, Milwaukee, WI B.A., Double Major in History and Political Science, University of Kansas, Lawrence, KS

CIVIC AND PROFESSIONAL ACTIVITIES Admitted to Practice Law in Kansas Society of Corporate Compliance and Ethics, Certified Compliance and Ethics Professional Association of Insurance Compliance Professionals, Associate Compliance Professional Women Vision International, Former Board Member, international microcredit lending group