David Ramirez
White Lake,MI
Summary
Dynamic Compliance Specialist at MassMutual Great Lakes with a proven track record in compliance oversight and ethics management. Successfully implemented compliance programs, enhancing regulatory understanding and operational efficiency. Adept at conducting audits and mentoring junior staff, fostering accountability and professional growth within the team. Skilled in anti-money laundering and documentation review.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Compliance Specialist
MassMutual Great Lakes
06.2008 - 10.2025
- Implemented compliance programs for staff, enhancing regulatory understanding.
- Conducted thorough reviews of policies and procedures for Registered Representatives to ensure adherence to company and industry regulations.
- Collaborated with cross-functional teams to streamline compliance processes and improve operational efficiency.
- Reviewed regulatory changes and communicated implications to Registered Representatives, ensuring timely adjustments to practices.
- Conducted regular audits to ensure adherence to policies, fostering a culture of accountability within the team.
- Mentored junior staff members, helping them develop their skills and advance in their careers.
Education
MBA - Finance
University of Detroit Mercy
Detroit, MI06-1985
Skills
- Compliance monitoring
- Ethics management
- Anti-money laundering
- Compliance oversight
- Information security
- Information gathering
- Industry awareness
- Documentation skills
- Documentation review
- Due diligence
- Compliance protocols
- Compliance training
Accomplishments
Headed the Supervisory effort for over 10 years with the MassMutual Michigan Metro office. On the Supervisory team with MassMutual Great Lakes for four years.
- Supervised team of 42 Registered Representivites.
- Achieved Registered Representative Personal Interviews by completing Reviews with accuracy and efficiency.
Certification
- Certified Financial Planner
- Chartered Life Underwriter
- Chartered Financial Consultant
- Chartered Special Needs Consultant
Languages
English
Full Professional
Timeline
Compliance Specialist
MassMutual Great Lakes
06.2008 - 10.2025
MBA - Finance
University of Detroit Mercy
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