Amy Grindstaff
Westfield,IN
Summary
Experienced compliance and supervision specialist in the financial services and insurance industry. Deep understanding of supervision and compliance requirements for various financial products including life insurance, annuities, mutual funds, separately managed accounts, and equities. Strong grasp of capital markets and working knowledge of alternative investments. Demonstrated leadership and management skills through direct collaboration with sales teams, showcasing ability to cultivate strong relationships.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Trade Review Principal
Voya Financial
03.2024 - 12.2024
- Reviewed annuity 1035 exchanges of the VOYA registered Representative sales force.
Investment Operations
Northwestern Mutual Financial Network
11.2023 - 01.2024
- Oversaw daily investment operations, including trade settlement and reconciliation.
- Ensured compliance with regulatory requirements and internal policies.
- Collaborated with team to support investment strategies.
- Analyzed and reported on investment performance and operational metrics.
- Assisted in the implementation of new investment systems and processes.
Director of Operations
Northwestern Mutual Financial Network
03.2022 - 11.2023
- Specialized in client service and processing of variable products and other securities for new financial advisors.
- Ensured the maintenance of an efficient and compliant office, allowing the new financial advisor's to focus on building client relationships.
- Acted as liaison between the home office, financial advisor and clients.
- Defined, implemented, and revised operational policies and guidelines.
- Established and monitored quality assurance standards to achieve operational excellence.
- Analyzed business operations and implemented strategies to improve operational cohesiveness.
- Reported issues to higher management with great detail.
Agency Supervisory Officer
WestPoint Financial
03.2021 - 03.2022
- Worked to ensure that 70 affiliated persons adhered to the obligations and requirements set forth in the supervisory manual.
- Evaluated situational risk involving client planning solutions. Conducted suitability reviews for variable annuities, mutual funds, separately managed accounts.
- Monitored producers' outside business activities.
- Completed client file reviews, producer interviews.
- Ensured that all correspondence was reviewed per written procedures as well as following up on deficiencies or concerns of reviews.
Broker Dealer Principal
OneAmerica
07.2019 - 01.2021
- Responsible for reviewing annuity sales for Registered Representatives and Investment Adviser Representatives.
- Collaborated with the team.
- Researched all variable annuities and analyzed the suitability of a pending 1035 exchange.
- Answered inquiries and provided information to sales representatives.
Senior Examiner
FINRA
10.2017 - 07.2018
- Actively participated in meetings on firms and examinations with moderate supervision and guidance.
- Participated in 3 examinations, conducted discovery/risk reviews and completed examination reports.
- Demonstrated proficient critical thinking, research, and quantitative skills.
- Actively participated in meetings on firms and/or examinations with moderate supervision and guidance.
- Prepped one case and actively worked with the Enforcement Team to pursue enforcement actions against a registered representative.
- Performed routine data entry or document management.
Senior Compliance Specialist
Empower Retirement
06.2015 - 10.2017
- Reviewed advertising, approved, filed, and maintained in accordance with FINRA and SEC regulations.
- Provided compliance support to all relevant departments related to the creation and distribution of investment company advertising.
- Developed social media user and review guidelines to be adopted for all social media channels.
- Lead the senior and vulnerable client program in adherence to state laws and regulations.
- Monitored state insurance regulations utilizing Westlaw, updated contracts per any regulatory/code changes.
- Recommended improvements to processes.
Broker Dealer Principal
Transamerica Financial Group
05.2011 - 03.2013
- Was the designated supervisor (OSJ) who oversaw activities of approximately 80 registered representative and IAR's to ensure compliance with industry standards.
- Adhered to regulations set by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
- Conducted required Branch Office Inspections and individual registered representative examinations.
- Conducted research and provided documentation to the Broker-Dealer when there was an indication that a rule had been broken or that a client had been compromised.
- Completed special ad-hoc projects to keep the firm in compliance with rules and regulation's.
Education
B.A. - Political Science
University of Colorado At Boulder
Boulder, COParalegal Certificate Course -
University of Colorado Denver
Aurora, CO01.2014
Skills
- Analytical problem-solving skills
- Proactive task identification
- Independent and collaborative work
- Detail-oriented and reliable
- Self-motivated learner pursuing knowledge
- Knowledge of securities regulations and compliance
- Office operations management
- Assessment of suitability in trading practices
Certification
- FINRA 7
- FINRA 24
- FINRA 63
- FINRA 9
- FINRA 10
- FINRA 53
Timeline
Trade Review Principal
Voya Financial
03.2024 - 12.2024
Investment Operations
Northwestern Mutual Financial Network
11.2023 - 01.2024
Director of Operations
Northwestern Mutual Financial Network
03.2022 - 11.2023
Agency Supervisory Officer
WestPoint Financial
03.2021 - 03.2022
Broker Dealer Principal
OneAmerica
07.2019 - 01.2021
Senior Examiner
FINRA
10.2017 - 07.2018
Senior Compliance Specialist
Empower Retirement
06.2015 - 10.2017
Broker Dealer Principal
Transamerica Financial Group
05.2011 - 03.2013
B.A. - Political Science
University of Colorado At Boulder
Paralegal Certificate Course -
University of Colorado Denver
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