Jacqueline Conley
Kent,Ohio
Summary
Accomplished Director of Operational Compliance with a proven track record at Sammons Financial Group and ING, enhancing company reputation and compliance through strategic planning and effective leadership. Expert in navigating regulatory requirements, fostering team growth, and implementing process improvements. Skilled in verbal and written communication, ensuring robust internal and external collaboration.
Overview
25
25
years of professional experience
Work History
Director, Operational Compliance
Sammons Financial Group
03.2015 - Current
- Responsible for performing detailed research and review of legal and regulatory requirements for the insurance industry.
- Review, investigate and respond to regulatory inquiries, data calls and market conduct examinations.
- Perform exam readiness testing and assessments to determine market conduct risk.
- Responsible for complex written communications with regulators, Company executives, agents and employees.
- Responsible for large scope Compliance initiatives involving high level of business risk.
- Develop high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
- Enhance team collaboration through regular communication, goal setting, and performance evaluations.
- Establish a culture of continuous improvement by fostering open communication channels and empowering employees to voice their ideas.
- Cultivate a positive work environment that fosters employee engagement, increased retention rates, and boosts overall team morale.
Compliance Director
ING
09.1999 - 06.2010
- Improved company reputation through proactive engagement with regulators and industry associations.
- Oversaw the receipt, review, research, investigation of and response/preparation to regulatory agencies and client initiated complaints of medium to large scope.
- Oversaw legal cases by working with outside counsel and participating actively in NASD mediation of cases to bring a quick and cost effective resolution for the Company.
- Attended compliance related meetings and presented information as assigned.
- Performed internal investigations and agent investigations when necessary.
- Assisted compliance senior management in all aspects of the compliance function related to developing and implementing policies, procedures and controls.
Education
J.D. -
Case Western Reserve University
Cleveland, OH01.1997
Bachelor of Arts - Economics
Cornell University
Ithaca, NY05.1993
Skills
- Strategic Planning
- Verbal and written communication
- People Management
- Operations Management
- Issues Resolution
- Rules and regulations
Additional Information
Volunteer Organizations
- Member of Kent Lions Club
- Member of Main Street Kent
Timeline
Director, Operational Compliance
Sammons Financial Group
03.2015 - Current
Compliance Director
ING
09.1999 - 06.2010
J.D. -
Case Western Reserve University
Bachelor of Arts - Economics
Cornell University