Amy Henley

Experience

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  Travelers

  Jan 1995 - Jan 2002

  Created and managed Firm Element training plan for field and home office registered persons to meet NASD requirements. Managed the communication to registered representatives and completion of NASD Regulatory Element education requirement. Coordinated the creation of database system that tracked participation and assisted in ensuring completion of all NASD continuing education requirements, thereby raising completion rates 50% from previous year. Communicated the status of requirements and progress to management and division managers. Developed corrective actions for individuals not meeting requirements, delivered such reports to senior management. Assisted in the development of an internal supervisory structure for all registered persons, and developed communication plan for the new process. Routinely communicated with all levels of company management. Show less Created and managed Firm Element training plan for field and home office registered persons to meet NASD requirements. Managed the communication to registered representatives and completion of NASD Regulatory Element education requirement. Coordinated the creation of database system that tracked participation and assisted in ensuring completion of all NASD continuing education requirements, thereby raising completion rates 50% from previous year. Communicated the status of requirements and progress to management and division managers. Developed corrective actions for individuals not meeting requirements, delivered such reports to senior management. Assisted in the development of an internal supervisory structure for all registered persons, and developed communication plan for the new process. Routinely communicated with all levels of company management. Show less Managed the broker-dealer audit program responsible for on-site audits at division manager and NASD registered branch locations throughout the country, which sell securities and variable insurance products. Effectively communicated results to corporate and field management. Worked extensively with field toward improving recordkeeping; gaining a better understanding of compliance. Oversaw the correction of issues raised during audits. Responsible for and managed the creation of a database system designed to track visits, results and resolution of audit work. Responsible for the hiring and training of three auditors, assigning office visits, and ensuring completion of annual audit process in accordance with firm standards. Participated in two Six-Sigma process improvement projects. Reviewed advertising, sales literature and correspondence for compliance with NASD rules and broker-dealer guidelines. Spearheaded the review and approval of registered representative websites. Show less

  • Compliance Manager, Tower Square Securities, Inc

    Jan 2001 - Jan 2002

  • Field Audit Manager, Tower Square Securities, Inc

    Jan 1999 - Jan 2001

  • Senior Annuity Marketing Specialist

    Jan 1996 - Jan 1999

  • Marketing Representative

    Jan 1995 - Jan 1996
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  ING Nederland

  Nov 2004 - Sept 2005

  Customer Service Associate

  Delivered high-quality, accurate customer service on variable annuity contracts sold in the defined contribution market. Obtained a thorough knowledge of marketing programs and annuity products, completed MAGIC and Asset Retention training. Communicated effectively with other members of the Customer Service Department for problem resolution. Consistently met or exceeded quality metrics.

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  Voya Financial

  Sept 2005 - now

  • Responsible for establishing, implementing and executing various Advisory programs across three Registered Investment Advisors• Ensure that all products, procedures, contracts, and services comply with state and federal laws, rules and regulations, and internal standards• Develop, design, and execution of all aspects of annual 206(4)-7 program• Conduct in-depth analysis and research of complex compliance related issues• Develop and deliver certain Compliance training to home office and field staff Show less Responsible to maintain a system of control, service level agreements and high standards over the advertising review process for the Enterprise and Retirement, Life Insurance and Annuity business lines. Provide consistent advertising review services for submissions and subject matter expertise for projects and key business initiatives. Inform and educate regarding review standards and processes. Participate in Continuous Improvement initiative by implementing process improvements. Lead team related projects. Manage a team of five advertising review analysts in two locations. Received three “Circle of Honor” Awards for participation in key Enterprise business initiatives. Show less As part of the Enterprise Advertising Review Flex Team, provide advertising review services for manufacturing and broker-dealer business partners. Provide support to other analysts to address high volume of assigned materials and maintain published service level agreements. Utilize specific workflow management and ancillary tools for each segment of the business. Review materials for compliance with regulations, insurance company and broker-dealer guidelines. Communicate necessary changes to the submitter and ensure that the changes are completed accurately. Coordinate required filings within regulated timeframes. Provide guidance and support for unique product and new product launch. Participate in Six Sigma process improvement initiatives. Mentor other team members. Show less

  • Compliance Consultant

    Jun 2022 - now

  • Implementation Project Manger

    Jun 2017 - Aug 2023

  • Advertising Compliance Manager

    Mar 2013 - Jun 2017

  • Senior Advertising Compliance Analyst

    Sept 2005 - Mar 2013