AIG American GeneralAssociate Director of Annuities-Compliance and Operations
Dec. 2002 - Sep. 2011Houston, Texas AreaPart of an extended leadership team, managing multiple functional areas across the annuity operations department; including compliance, quality assurance, tax reporting, call center, and customer service. Maintained and reviewed policies, procedures, and practices to ensure compliance with all laws and regulations. Set aggressive, challenging goals that supported organizational goals and strategies. Oversight of over 60,000 annuity contracts, and over $500 million in sales for 2010. Selected Accomplishments: •Worked with SOX auditors and internal auditors to ensure departmental procedures complied with SOX and internal audit guidelines, therefore mitigating company risk. •Implemented Suitability and Anti-Money Laundering procedures to comply with and adhere with various regulations which resulted in mitigating any regulatory risks, and building client confidence in the firm and its products. •Collaborated with the Chief Compliance Officer and the compliance department in the design, implementation, and management in all areas of compliance, including firm policies, and market conduct exams. •Implemented an effective compliance testing region ensuring compliance with various regulations which resulted in mitigating any regulatory risks and building client confidence in the firm and its products. •Reviewed and approved financial and non-financial disclosures to ensure compliance with state regulations.