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Compliance Officer

Scotch Plains, NJ

Work Experience

Compliance Officer

Prudential Financial, Newark, NJ

Jul 2006Apr 2013

Research and write legislative alerts and distribute to senior management, and provide oversight to ensure compliance.
  • Work with business leaders to implement privacy regulations including HIPAA/HITECH, GLBA, Red Flags Rule.
  • Manage team to address each privacy event.
  • Develop and train employees on privacy issues.
  • Develop and update policies, procedures and risk assessments to support business leaders who are subject to relevant laws.
  • Work with Senior Management to identify and develop areas that require compliance reviews. Identify gaps, update processes and policies as needed and implement controls to mitigate risk.
  • Prepare and deliver training on topics include Securities Trade Monitoring, FCPA, Anti Money Laundering and Privacy.

Compliance Manager

Jul 2004Jul 2006

Developed, edited, and presented training materials for Corporate Compliance senior executives and the Operations and Systems
business division of international insurance company.
  • Served as the main project manager for developing, implementing, and producing multiple LCBE computer based training (CBT) within strict deadlines with limited financial or personnel resources.
  • Wrote and edited content, and maintained Corporate Compliance intranet training web site for use by all national and international Prudential staff.
  • Provided compliance research and guidance to the Operations and Systems division. Served as liaison with marketing, business ethics and legal departments.
  • Monitored regulatory and legal activity affecting the Operations and Systems business groups, Prudential Securities and eight discontinued business groups
  • Served on various high level committees including Prudential Securities business wind down team, annual Corporate Compliance planning team, Employee Survey Results Actionable Items Team.

Legal Analyst

Jul 2003Jul 2004

Researched, analyzed and summarized legal issues pertaining to the annuity and life insurance lines of business for all 50 states.
  • Supervised class action document production which involved coordinating across a multitude of divisions within the corporation including legal, marketing, sales, investments, and annuities.
  • Drafted legal analysis based on research findings.

Senior Marketing/Communications Specialist

Horizon Blue Cross Blue Shield of New Jersey, Newark, NJ

Dec 2000Jun 2003

Wrote, designed, edited and published a multitude of communications including newsletters, brochures, marketing materials and extensive sales materials for the Managed Care Network.
  • Wrote, edited and produced annual sales reports for the sales division.
  • Developed, produced and managed all communications projects for specific client accounts such as hospitals, physicians, high level internal committees.

12/98/12/00 Legal Specialist
  • Researched and wrote legal bulletins on current managed care and health care industry issues.
  • Interacted with senior management to communicate regulatory updates and changes.
  • Managed the corporate law library, including the budget.
  • Oversaw legal division's on-line research systems which resulted in switching vendors and saving the company $40,000 per year.

Paralegal Specialist

Chubb & Son Corporation, Township of Warren, NJ

Oct 1997Dec 1998

Researched and wrote legal opinions for clients in the following business units: Workers' Compensation, personal lines insurance; accident and health; officer and director liability.
  • Managed tracking of regulatory and legal issues for internal customers.
  • Developed internal company responses to legal requests from outside regulators.
  • Managed legal research process for 18 states and all federal issues.

Compliance Analyst

Prudential Healthcare, Newark, NJ

Mar 1995Oct 1997

Maintained inventory of regulatory and legal business issues for the department.
  • Wrote business action plans to address internal compliance issues.
  • Tracked compliance issues on internal databases, and provide reports to senior management.

Legal Analyst
  • Researched health, managed care and disability legal issues and wrote opinions for clients.
  • Drafted minutes and corporate resolutions and attended Board of Directors meetings for several healthcare subsidiaries.
  • Supervised anti-trust pharmaceutical litigation document production.


M.B.A. in Management


B.A. in English/Communications


Cornell University,

Additional Information

Computer Skills: Microsoft Project Manager, Microsoft Word, Excel, Power Point, 
Lotus Notes, Westlaw, Lexis, Access. 
Core Responsibilities: Legal Research, Writing of policies and procedures, Development and delivery of training, Privacy subject matter expert.
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