Joel Guinane

Experience

• 

  Greg Cook Law Offices

  Jun 2006 - May 2007

  Litigation Associate

  Built a litigation practice by working in the insurance defense area. I participated in mitigation, appeared in court, drafted legal documents and prepared documents and discovery for senior partner.

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  Northwestern Mutual

  Jul 2007 - Aug 2014

  Delivered compliance support for the entire organization and within multiple functions in the Enterprise Compliance DepartmentPrimarily focused on the review of marketing materials that required principal approval from FINRA and other applicable regulations for the entire enterprisePartnered with all areas of the company in social media development, retail brokerage and employer sponsored retirement plan materials, multiple insurance lines and non-English language supervisionAdvised clients to help them understand the process, the regulations involved and partnered to remedy creative and regulatory concerns that arose Worked directly with FINRA for necessary filing of retail communications Monitored rule changes and their implications on our work in a compliance function and implications for others in the company, including the law department and executive stakeholdersEnsured best business practices and regulatory consulting for the home office and field as well as assisted in the field audits of branch offices and registered representativesSupported the AML professionals and assisted with oversight of the corporate complaint process to evaluate, record, track and monitor customer complaints Show less

  • Enterprise Compliance Specialist

    Nov 2007 - Aug 2014

  • Wealth Management Operations Support

    Jul 2007 - Nov 2007
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  Baird

  May 2015 - now

  Compliance Officer