Sean P. Ford
Tarrytown,NY
Summary
Seasoned Compliance Manager with a proven track record at The Prudential Insurance Company of America, adept in rigorous review processes and ensuring adherence to industry regulations. Excelled in project management and internal audits, showcasing exceptional analytical skills and a commitment to compliance. Proficient in Workfront and Microsoft Office, demonstrating both technical and interpersonal prowess.
Overview
16
16
years of professional experience
1
1
Certification
Work History
Compliance Manager
The Prudential Insurance Company of America
03.2016 - 02.2024
- Reviews and critiques all sales and marketing materials containing various financial products as well as training materials
- Performs various rigorous reviews of company sales materials requiring evaluation, research, ingenuity and analysis to make complex decisions
- Provides verbal and written rationale feedback to project managers and explains rationale for edits and alternations to materials
- Receptive to clients’ goals and assists in the execution of such goals while ensuring compliance with company policies and industry regulations
- Extensive interaction with internal customers and external branches in order to research and resolve complex reviews
- Handles special projects including an internal audit of our business, monitoring our state filing processes, and ensuring that all quarterly goals are met
Compliance Associate Level 2
New York Life Insurance Company
01.2008 - 01.2016
- Reviewed both registered and non-registered advertisements and sales material for our Agents, Registered Representatives and Financial Advisers in the Sales Material Review Unit
- Supervised company and salesforce materials to ensure compliance with company policies and procedures via direct interaction with Agents, Registered Representatives and Financial Advisers
- Handled special projects as needed including tracking marketing material submitted from top selling agents
- Managed document queue and customer inquiries on a daily basis
- Responsible for reviewing all sales material including recruiting and training materials from 14 General Offices nationwide
2 Year Compliance Program
- Reviewed marketing material for life insurance, fixed and variable annuities, mutual funds and long term care insurance
Education
B.A. - Management
Gettysburg College
Gettysburg, PA01.2008
Skills
- Workfront
- Microsoft Word
- Microsoft Outlook
- PowerPoint
- Excel
Certification
Series 7 and 24 (Securities licenses)
Timeline
Compliance Manager
The Prudential Insurance Company of America
03.2016 - 02.2024
Compliance Associate Level 2
New York Life Insurance Company
01.2008 - 01.2016
2 Year Compliance Program
B.A. - Management
Gettysburg College
Similar Profiles
Task MorelandTask Moreland
NA at The Prudential Insurance Company of America, Prudential FinancialNA at The Prudential Insurance Company of America, Prudential Financial
Greg RiebelGreg Riebel
Director, Sales Support and Oversight at The Prudential Insurance Company Of AmericaDirector, Sales Support and Oversight at The Prudential Insurance Company Of America
JILLIAN MONDACAJILLIAN MONDACA
Vice President, Head of Enrollment at Prudential Insurance Company of AmericaVice President, Head of Enrollment at Prudential Insurance Company of America
Austin MorganAustin Morgan
Performing Arts Teacher & Director at The Harvey SchoolPerforming Arts Teacher & Director at The Harvey School
Joseph AlmonteJoseph Almonte
Logistics Specialist at New Castle Building ProductsLogistics Specialist at New Castle Building Products