Cassandra Simpson
Brooklyn
Summary
Accomplished Licensing Associate with a proven track record at New York Life Insurance Co, adept in electronic filing and maintaining precise records. Leveraged excellent communication skills and a strong problem-solving ability to enhance compliance and streamline licensing processes, achieving a significant reduction in application turnaround time.
Overview
15
15
years of professional experience
Work History
Licensing Associate III
New York Life Insurance Co
07.2005 - 01.2011
- Verified personal information, background checks, and necessary documentation for producer licenses.
- Collected missing information and followed up with applicants to ensure timely submission.
- Transmitted applications to relevant state insurance regulators via electronic submission or mailing.
- Managed renewal timelines by tracking upcoming expirations.
- Tracked continuing education requirements and ensured producers complete necessary courses.
- Submitted renewal applications and associated fees to appropriate state agencies.
- Tracked updates on state-specific insurance licensing requirements.
- Investigated and resolved licensing discrepancies or violations.
- Worked with legal, compliance, and sales departments to resolve licensing inquiries.
- Resolved concerns by engaging with state regulatory authorities.
- Kept detailed and up to date records of producer licensing information such as license number, state credentialing specifics, and expiry data.
- Monitored the status of applications, renewals, and compliance through licensing management systems.
Licensing Associate
Prudential Financial
03.2001 - 04.2005
- Processed terminations of registration of FINRA licenses (Series 6, 7, 63, etc.) for both financial advisors and staff.
- Ensured accuracy of termination data in Central Registration Depository.
- Filed required paperwork with FINRA and state regulatory agencies in a timely manner.
- Ensured accuracy of licensing data through frequent database updates.
- Compiled data on licensing and compliance.
- Resolved potential compliance issues related to licensing and registration.
- Conveyed regulatory updates to appropriate team members.
Customer Service Representative
Chase
06.1996 - 12.2000
- Managed inbound call volume of up to 120 calls per day.
- Cultivated customer relationships by attentively listening and addressing concerns.
- Provided accurate information about Chase products and services.
- Resolved customer inquiries regarding account balances, transactions, fees, and other banking related issues.
- Navigated multiple systems to access customer information and process requests.
- Identified potential sales opportunities by cross-selling relevant products when appropriate.
- Adhered to compliance regulations and company policies.
Education
Bachelor Of Business - Business
Marshall University
Huntington, WVBachelor Of Administration - Business
West Virginia State College
Institute WVSkills
- Excellent communication and interpersonal skills
- Strong problem-solving and decision-making abilities
- Ability to work effectively in a fast-paced environment
- Proficiency with computer systems and applications
- Familiarity with the CRD system and electronic filing processes
- Excellent attention to detail and ability to maintain accurate records
- Strong organizational skills and ability to manage multiple tasks efficiently
Timeline
Licensing Associate III
New York Life Insurance Co
07.2005 - 01.2011
Licensing Associate
Prudential Financial
03.2001 - 04.2005
Customer Service Representative
Chase
06.1996 - 12.2000
Bachelor Of Business - Business
Marshall University
Bachelor Of Administration - Business
West Virginia State College
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