Jorge Louro
West Hartford
Summary
Detail-oriented financial services professional specializing in regulatory supervision, compliance oversight, and risk management. Monitors regulatory adherence and assesses operational controls to support institutions in navigating evolving supervisory expectations while aligning regulatory requirements with business objectives.
Overview
29
29
years of professional experience
Work History
Senior Analyst
Empower Financial Services
Hartford
04.2024 - Current
- Managed customer complaints and inquiries across multiple communication channels, including FINRA/SEC inquiries, while ensuring consistent activity levels across the team.
- Conducted quality reviews of disbursement-related operational audits for retail and employer-sponsored plan businesses, ensuring compliance and accuracy.
- Managed advisory business error process and launched a new error tool, enhancing visibility into in-flight corrections and improving root cause analysis.
- Created instructional guides and Standard Operating Procedures (SOP) for all core tasks for end users.
Team Leader / Regulatory Supervisionn
Prudential Investment Management Services
Hartford
10.2014 - 04.2024
- Achieved Series 24 licensure to enhance regulatory compliance knowledge.
- Performed supervisory duties including new account suitability reviews, trade suitability assessments via daily blotters, Best Interest Contract (BIC) reviews, and correspondence evaluations through internal email monitoring.
- Maintained compliance with legal and regulatory requirements across all team activities, ensuring adherence to industry standards.
- Addressed customer inquiries and complaints, effectively managing escalations to resolution.
Internal Life Wholesaler
Mass Mutual
Springfield
09.2011 - 09.2014
- Developed strategies to maximize sales within assigned territory consistently achieving sales goals.
- Coordinated product offerings and services with external business partner to align with evolving client financial goals, utilizing innovative financial software solutions.
- Analyzed market trends to uncover opportunities for tax-advantaged investment strategies, enhancing client portfolio performance.
- Monitored competitor activities to inform strategic decisions and uphold competitive positioning.
Client Manager
Prudential Investment Management Services
Hartford
02.2005 - 07.2011
- Obtained Series 65 licensure to qualify as an investment advisor representative.
- Managed client accounts, including conducting regular reviews providing strategic recommendations based on client's changing financial needs while maintaining an over 85% client retention rate.
- Researched competitive markets to stay current on industry trends, ensuring clients received timely information.
- Maintained accurate records of customer interactions, including emails and phone conversations, to enhance communication and service quality.
- Participated in the Reserve Fling Squad program being deployed more than any other participant to support Employer Sponsored Plan Administrators by explaining plan benefits and features to plan participants.
Distribution Assitance Group
Cigna Financial Services
Hartford
06.1997 - 02.2005
- Facilitated client understanding of employer-sponsored plan options and key features, enhancing informed decision-making.
- Engaged in holistic discussions to identify financial needs, proposing tailored solutions that addressed client objectives.
- Achieved Series 7 and Series 63 licenses, ensuring adherence to regulatory standards.
Skills
- Data analysis
- Regulatory compliance
- Project coordination
- Team leadership
- Client relationship management
- Effective communication
- Conflict resolution
Timeline
Senior Analyst
Empower Financial Services
04.2024 - Current
Team Leader / Regulatory Supervisionn
Prudential Investment Management Services
10.2014 - 04.2024
Internal Life Wholesaler
Mass Mutual
09.2011 - 09.2014
Client Manager
Prudential Investment Management Services
02.2005 - 07.2011
Distribution Assitance Group
Cigna Financial Services
06.1997 - 02.2005