Experience

Wellfleet
• United States
• Musicians
• 1 - 100 Employee
• Corporate and Regulatory Counsel

  • Jul 2019 - Present


The Hartford

• United States
• Financial Services
• 700 & Above Employee

• Director, Compliance and Regulatory Response

  • Aug 2013 - Jul 2019

  Director - Compliance and Regulatory Response - Group Benefits, June 2014-Present Assistant Director - Regulatory Compliance and Monitoring - Group Benefits, Jan 2014-June 2014 Compliance Consultant, Aug 2013-Jan 2014 • Manage Complex Group Benefits Compliance Corrective Action Plans, including strategy, communication with regulators, project managing and reporting, as well as drafting procedures, memos communications and best practices • Provide regulatory compliance consultation… Show more Director - Compliance and Regulatory Response - Group Benefits, June 2014-Present Assistant Director - Regulatory Compliance and Monitoring - Group Benefits, Jan 2014-June 2014 Compliance Consultant, Aug 2013-Jan 2014 • Manage Complex Group Benefits Compliance Corrective Action Plans, including strategy, communication with regulators, project managing and reporting, as well as drafting procedures, memos communications and best practices • Provide regulatory compliance consultation on a wide variety of topics across Group Benefits and serve as single point of contact for Sales and Service Operations • Provide timely, accurate and effective responses to regulatory exams, inquires and reporting requirements and perform mock exams. • Triage and resolve general compliance questions/concerns/issues, including questions relating to corporate policies such as the Code of Ethics and Business Conduct, and Group Benefits policies such as the Quote Guiding Principles, Producer Compensation Guidelines, Non Standard Claim exceptions and Portability and Conversion exceptions. • Work with business to develop, document and maintain solutions, communications, and policies and procedures necessary to mitigate risk and ensure consistent, sound, compliant business practices. • Provide appropriate support and input from a GB perspective to Corporate Compliance in regards to corporate initiatives. • Drive privacy and security initiatives in GB to help ensure compliance with applicable laws and corporate policies, including: o Management of the Information Protection Management (IPM) program for GB, partnering with the Privacy Office, THIP and GB IT to assess policies and standards. o Development of GB privacy policies and procedures. • Responsible for developing and executing comprehensive monitoring programs to monitor known risks and identified new risk for Group Benefits. Show less Director - Compliance and Regulatory Response - Group Benefits, June 2014-Present Assistant Director - Regulatory Compliance and Monitoring - Group Benefits, Jan 2014-June 2014 Compliance Consultant, Aug 2013-Jan 2014 • Manage Complex Group Benefits Compliance Corrective Action Plans, including strategy, communication with regulators, project managing and reporting, as well as drafting procedures, memos communications and best practices • Provide regulatory compliance consultation… Show more Director - Compliance and Regulatory Response - Group Benefits, June 2014-Present Assistant Director - Regulatory Compliance and Monitoring - Group Benefits, Jan 2014-June 2014 Compliance Consultant, Aug 2013-Jan 2014 • Manage Complex Group Benefits Compliance Corrective Action Plans, including strategy, communication with regulators, project managing and reporting, as well as drafting procedures, memos communications and best practices • Provide regulatory compliance consultation on a wide variety of topics across Group Benefits and serve as single point of contact for Sales and Service Operations • Provide timely, accurate and effective responses to regulatory exams, inquires and reporting requirements and perform mock exams. • Triage and resolve general compliance questions/concerns/issues, including questions relating to corporate policies such as the Code of Ethics and Business Conduct, and Group Benefits policies such as the Quote Guiding Principles, Producer Compensation Guidelines, Non Standard Claim exceptions and Portability and Conversion exceptions. • Work with business to develop, document and maintain solutions, communications, and policies and procedures necessary to mitigate risk and ensure consistent, sound, compliant business practices. • Provide appropriate support and input from a GB perspective to Corporate Compliance in regards to corporate initiatives. • Drive privacy and security initiatives in GB to help ensure compliance with applicable laws and corporate policies, including: o Management of the Information Protection Management (IPM) program for GB, partnering with the Privacy Office, THIP and GB IT to assess policies and standards. o Development of GB privacy policies and procedures. • Responsible for developing and executing comprehensive monitoring programs to monitor known risks and identified new risk for Group Benefits. Show less



AIX Group, Inc

• United States
• Entertainment Providers

• Compliance Team Lead

  • Jan 2011 - Aug 2013

  Manage a group of professionals to ensure compliance with state and federal regulations, company standards and program guidelines Serve as leader of Business Continuity Team to ensure continued functionality during times of business interruption Analyze and evaluate state bulletins and circulars, determine impact to admitted and non-admitted business, identify action steps and release notification to appropriate business units Assist in the management of the team program audit schedule… Show more Manage a group of professionals to ensure compliance with state and federal regulations, company standards and program guidelines Serve as leader of Business Continuity Team to ensure continued functionality during times of business interruption Analyze and evaluate state bulletins and circulars, determine impact to admitted and non-admitted business, identify action steps and release notification to appropriate business units Assist in the management of the team program audit schedule and assess program risk Manage reporting of complaints, fines and penalties Create and implement procedures for various business functions including accounting for missing policies numbers, voluntary audit and overall company operations manual Enforce and support all company policies among my direct reports Act as liaison with ISO, NCCI and PCI Review contracts, forms, and endorsements with necessary individuals to support regulatory and state compliance issues Coordinate and provide responses to state market conduct exams Responsible for Program business implementation and training Perform research on compliance related projects Show less Manage a group of professionals to ensure compliance with state and federal regulations, company standards and program guidelines Serve as leader of Business Continuity Team to ensure continued functionality during times of business interruption Analyze and evaluate state bulletins and circulars, determine impact to admitted and non-admitted business, identify action steps and release notification to appropriate business units Assist in the management of the team program audit schedule… Show more Manage a group of professionals to ensure compliance with state and federal regulations, company standards and program guidelines Serve as leader of Business Continuity Team to ensure continued functionality during times of business interruption Analyze and evaluate state bulletins and circulars, determine impact to admitted and non-admitted business, identify action steps and release notification to appropriate business units Assist in the management of the team program audit schedule and assess program risk Manage reporting of complaints, fines and penalties Create and implement procedures for various business functions including accounting for missing policies numbers, voluntary audit and overall company operations manual Enforce and support all company policies among my direct reports Act as liaison with ISO, NCCI and PCI Review contracts, forms, and endorsements with necessary individuals to support regulatory and state compliance issues Coordinate and provide responses to state market conduct exams Responsible for Program business implementation and training Perform research on compliance related projects Show less



Karlson, Kasper & Parasco

• Attorney/Partner

  • Feb 2004 - Dec 2010

  Founding member of boutique real estate law firm Responsible for budgeting and day to day financial operations of firm Reviewed, analyzed, drafted and negotiated purchase and sales contracts within strict timeframes by coordinating with financial institutions, clients, and other attorneys Prepared all documents necessary for purchase, sale, and refinance transactions Proficient in preparing HUD-1s for financial institutions Grew business to complete over 325 transactions and… Show more Founding member of boutique real estate law firm Responsible for budgeting and day to day financial operations of firm Reviewed, analyzed, drafted and negotiated purchase and sales contracts within strict timeframes by coordinating with financial institutions, clients, and other attorneys Prepared all documents necessary for purchase, sale, and refinance transactions Proficient in preparing HUD-1s for financial institutions Grew business to complete over 325 transactions and administered 800+ closing transactions since inception Managed and trained staff to ensure accuracy of contracts and related closing documentation Show less Founding member of boutique real estate law firm Responsible for budgeting and day to day financial operations of firm Reviewed, analyzed, drafted and negotiated purchase and sales contracts within strict timeframes by coordinating with financial institutions, clients, and other attorneys Prepared all documents necessary for purchase, sale, and refinance transactions Proficient in preparing HUD-1s for financial institutions Grew business to complete over 325 transactions and… Show more Founding member of boutique real estate law firm Responsible for budgeting and day to day financial operations of firm Reviewed, analyzed, drafted and negotiated purchase and sales contracts within strict timeframes by coordinating with financial institutions, clients, and other attorneys Prepared all documents necessary for purchase, sale, and refinance transactions Proficient in preparing HUD-1s for financial institutions Grew business to complete over 325 transactions and administered 800+ closing transactions since inception Managed and trained staff to ensure accuracy of contracts and related closing documentation Show less



Artis

• France
• Software Development
• 1 - 100 Employee

• Contracts/Compliance Specialist

  • Nov 2001 - Feb 2004

  Reviewed, analyzed, drafted and negotiated Captive, Rent-A-Captive Quota Share, Facultative and Excess Reinsurance contracts and treaties Drafted and negotiated various contracts and agreements with program agents and third party claims administrators and others associated with program business Drafted and negotiated miscellaneous contracts and documents Reviewed, analyzed, drafted and negotiated Captive, Rent-A-Captive Quota Share, Facultative and Excess Reinsurance contracts and treaties Drafted and negotiated various contracts and agreements with program agents and third party claims administrators and others associated with program business Drafted and negotiated miscellaneous contracts and documents