Suzanne H.

Experience

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  North American Security Life

  Jan 1987 - Jan 1990

  Manager, Insurance Licensing

  Directed start up of insurance licensing department and record keeping of 18,000 agents representing banks, broker dealers, insurance companies and wire houses. Managed two supervisors and nine licensing clerks.

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  Fidelity Investments

  Jan 1990 - Jan 1998

  Manager, Regulatory Qualifications

  Managed FINRA Registration, insurance licensing and investment advisor registrations for 10,000 employees, four broker dealers and nine registered investment advisors. Managed 17 direct reports including three supervisors. Automated 85% of manual processes for FINRA registrations, redesigned job responsibilities, grade levels and compensation and facilitated cross training of staff. Received Kaizen Quality Recognition from Corporate Quality for process improvement project.

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  Sun Life Financial

  Jan 1998 - Jan 2004

  Compliance Officer

  Responsible for FINRA,SEC and state insurance department and company advertising and marketing material review and filing. Provided broker dealer compliance support and training for a variable annuity distributor including Anti-Money Laundering, Privacy, delivery of Annual Compliance and Code of Business Conduct and Ethics. Developed and maintained broker/dealer written supervisory procedures. Provided support to variable annuity operations.

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  Marsh & McLennan Companies, Inc.

  Apr 2005 - Nov 2006

  Sr. Advertising Review Analyst

  Implemented and integrated start-up of advertising compliance unit and compliance function. Responsible for the review of marketing material for Mercer HR Services, a leading provider of pension and defined contribution products.

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  John Hancock Investments

  May 2007 - Nov 2020

  John Hancock Investments, Sales Compliance Department (5/2007-present)Sr. Advertising Review Compliance Consultant (7/2009-present)• Responsible for the daily review and approval of sales material related to the John Hancock Investments business unit comprising of the annual review for two thousand five hundred departmental submissions. Sole contributor to the compliance department for the daily review of sales material through March 2012. • Maintain an open and efficient relationship with the Marketing and Product Management departments for the timely review and principal approval of firm advertising and sales literature.• Ensure that materials are in compliance with FINRA Conduct Rules, SEC Rules and applicable company policies. • Serve as department subject matter expert in FINRA, SEC and the Investment Advisers Act of 1940 advertising rules to internal areas including Marketing, Product Management, Legal, Retirement Plan Services, Investment Compliance and other internal departments. • Provide alternative ideas for advertising submissions that do not meet regulatory standards. • Mentor and train advertising compliance consultant colleague(s) and marketing management and staff on mutual fund, investment advisor and securities rules, regulations and laws and the applicability to sales material. • Ensure consistent review process within department. • Address and analyze regulatory comments with colleague(s) and work with Marketing and Product Management departments to revise content in sales material to ensure compliance with rules and regulations.• Responsible for maintaining statistical report information related to the Sales Material team’s performance. • Liaise with FINRA Advertising Department and analysts and supervisors to address and mediate advertising compliance issues. • Communicate with industry advertising peer groups periodically to benchmark procedures, regulatory comments and rule interpretations. Show less Advertising Compliance Consultant (5/2007-6/2009)• Solely responsible for the daily review and approval of sales material related to the John Hancock Investments business unit comprising of the annual review of one thousand thirteen hundred and fifty submissions. • Ensure that materials are in compliance with FINRA Conduct Rules, SEC Rules and applicable company policies. • Address and analyze regulatory comments and work with Marketing and Product Management departments to revise content in sales material to ensure compliance with rules and regulations. • Lead monthly sales advertising compliance meetings with Marketing and Product management teams. • Liaise with FINRA Advertising Department and analysts and supervisors to address and mediate advertising compliance issues.• Communicate with industry advertising peer groups periodically to benchmark procedures, regulatory comments and rule interpretations Show less

  • Sr. Advertising Review Compliance Consultant

    May 2007 - Nov 2020

  • Advertising Compliance Consultant

    May 2007 - Nov 2020
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  NYLIFE Securities LLC

  Feb 2021 - now

  Financial Services Professional
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  Equitable

  Dec 2023 - now

  Financial Professional