Edith Morris4307 Claybury Court

Charlotte, North Carolina 28227emorris102166@yahoo.com

Cell: 704-414-0375

Summary

Experienced Compliance Analyst with leading teams, suitability, reconciling financial data, research of compliance data, implementation of process improvements, staff development, customer service/support, benefit planning, relationship building.

Accomplishments

Provided training to business partners relating to regulations which impacted their line of business and the company which resulted in a decrease in negative audits

Maintained compliance of broker compensation distributed through the revising of procedures and the training of various lines of business

Developed, implemented and managed projects and processes to meet deadlines and produce positive results to prevent negative audit results

Reconcile and track large corporate financial ledgers to mitigate issues and save the company money by reviewing manual entries

Lead cross-functional teams in order to maintain relationships across business lines Participated and monitored Anti-Money Laundering automation Develop and maintain relationships within MetLife and the various lines of business which resulted in acceptance

of recommendations provided for improvements needed Conduct annual due diligence of those in which company has selling agreements to include their financials,

complaints and SEC filings Create complaint handling procedures pertaining to oversight and compliance

Education

Master of Management/Human Resources ManagementUniversity of Phoenix-Online, Phoenix, AZ 2008 – 2009Major Courses of Study: Corporate Governance, Human Capital Development, Conflict Management, Organizational Design, Implementing Corporate InitiativesGPA: 3.76

Bachelor of Science Degree in Business ManagementUniversity of Phoenix-Online, Phoenix, AZ 2004 - 2008Major Courses of Study: Critical Thinking, Business Law, Organizational Behavior, Ethics, Management Communication Skills, Project ManagementGPA: 3.83

LicensesSeries 24FLMI – Level IALMI

Member of Toastmasters

EMPLOYMENT HISTORY

2002 - 2014MetLifeMetLife – Charlotte, North Carolina (2015 – current)Principal – Sr. Compliance Analyst Conduct the review of sales material from retail corporate marketing sources and various distribution channels and

ensure turnaround times are met in order for representatives to display and/or present material to clients. Identify submissions that require filing with a State Department of Insurance and/or FINRA. Address any regulatory

filing comments, as applicable. Revise and/or approve and/or deny materials submitted by data gathering, data analysis and updating sales

material submission records; referring the submission to applicable subject matter experts as appropriate. Works with the submitter of material to discuss marketing intent, proposed revisions, and applicable laws, rules, or policies that pertain to the material.

Identify policy and procedure gaps or opportunities for clarification and work with peers and management to update relevant policy and procedure documentation.

MetLifeMetLife – Charlotte, North Carolina (2013 – 2015)Principal - Broker Dealer New Business

Inspects all new business cases for compliance with internal, NASD, and SEC suitability and replacement guidelines as it pertained to annuities and mutual funds

Performs complex new business functions including Replacement and Suitability Communicate to representatives requirements needed for contracts written to ensure suitability

MetLifeMetLife – Bridgewater, New Jersey (2010 – 2012)Senior Compliance Analyst, Corporate Ethics and Compliance

Monitor registrations via webCRD and FINRA website to ensure stationery orders were in compliance Update and communicate procedures for registered representatives in ordering stationery as needed Provided support for compensation issues to mitigate risk that can affect the company

As project manager, executed testing of compensation disclosure and escalate issues as needed Compile, test, analyze and reconciled Institutional complaint data; frequently reviewed complaint processes to

ensure focus was relevant to insurance regulations and corporate standards set by MetLife Met with lines of business to promote 100% compliance with complaints, compensation disclosure testing and

Learning and Development courses for sales representatives Provided effective oversight for Broker Compensation process to make certain applicable rules and regulations

were followed Analyzed regulations as they emerged to apply in lines of business affected to ensure compliance and

document GRC

MetLife – Iselin, New Jersey (2002 – 2010)Associate Client Executive, Specialized Benefit Resources

Assisted with training of new employees for opportunities to grow; update procedures as they changed. Monitored and maintained Anti-Money Laundering files to be researched and reported to management Initiate wires for death claims and reconcile with the financial department any discrepancies; verify wire

transfers Participated and led meetings to provide updates to management with project status Work with Sales Support and Legal department in obtaining material needed for client visits Produce daily, monthly and quarterly reports that were sent to fund managers/Directors Responsible for daily premium reconciliation for various life insurance products Provide implementation packages for Request for Proposals regarding competitive intelligence;

implementation package used to compete with other companies to obtain business Participate in meetings with staff and department heads to discuss issues and improvements needed for

financial and customer service processes performed Assist with the testing of clients added into the database system Assist in the training of database procedures and service issues; testing also performed prior to being used by

department Researched and developed processes to improve death claim processing; ongoing project Produced daily, monthly and quarterly reports which were sent to fund managers/directors