rmc resume final

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1 of 3 215-284-6718 | www.linkedin.com/in/raymcg2 [email protected] RAYMOND MCGRATH OBJECTIVE I am an experienced leader with over 20-years within the financial and insurance industries. I have proven success in building organizations and teams that achieve business and career objectives. I am looking to share my experience and further my career in a world class organization. PROFESSIONAL ACHIEVEMENTS FINRA Series 6 Series 7 Series 26 Series 51 PENNSYLVANIA AND NEW JERSEY Accident and Health, Life and Fixed Annuity, Variable Life and Annuity Licenses. SKILLS Strategic planning Leadership Relationship building Team building Process development Multi-unit operations management WORK HISTORY HEAD OF PROFESSIONAL SERVICES GLOBAL SUPERVISION AND COMPLIANCE, SMARSH, INC, PHLADELPHIA, PA May 2014-April 2016 Development and creation of Professional Services - Supervision and Compliance Department Design of efficient digital communication compliance and supervision processes relating to social media and email communications for existing and new global customers in a diverse set of industry verticals. Partnership with Product Development and Regulatory Agencies (FINRA, FSA etc.) to enhance the overall supervision platform to meet customer needs, industry trends and revenue generation. Teaching global customers to customize supervision processes to optimize workflows and to efficiently detect pertinent regulatory risks. Developing and managing departmental operating budget of $375,000 along with revenue forecasting.

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Page 1: RMC RESUME FINAL

1 of 3

215-284-6718 | www.linkedin.com/in/raymcg2

[email protected]

RAYMOND MCGRATH

OBJECTIVE I am an experienced leader with over 20-years within the financial and insurance industries. I have

proven success in building organizations and teams that achieve business and career objectives. I

am looking to share my experience and further my career in a world class organization.

PROFESSIONAL

ACHIEVEMENTS

FINRA

Series 6

Series 7

Series 26

Series 51

PENNSYLVANIA AND NEW JERSEY

Accident and Health, Life and Fixed Annuity, Variable Life and Annuity Licenses.

SKILLS Strategic planning

Leadership

Relationship building

Team building

Process development

Multi-unit operations management

WORK HISTORY HEAD OF PROFESSIONAL SERVICES GLOBAL SUPERVISION AND COMPLIANCE, SMARSH, INC,

PHLADELPHIA, PA

May 2014-April 2016

Development and creation of Professional Services - Supervision and Compliance

Department

Design of efficient digital communication compliance and supervision processes

relating to social media and email communications for existing and new global

customers in a diverse set of industry verticals.

Partnership with Product Development and Regulatory Agencies (FINRA, FSA

etc.) to enhance the overall supervision platform to meet customer needs,

industry trends and revenue generation.

Teaching global customers to customize supervision processes to optimize

workflows and to efficiently detect pertinent regulatory risks.

Developing and managing departmental operating budget of $375,000 along

with revenue forecasting.

Page 2: RMC RESUME FINAL

2 of 3

DIRECTOR, REGULATORY SUPERVISION, PRUDENTIAL INSURANCE COMPANY OF AMERICA,

ISELIN, NJ

March 2010 – February 2014

Supervision and oversight of 4 registered principals with overall responsibility for

suitability review of variable and fixed annuities, mutual funds, wrap products,

529 plans and variable life insurance for multiple strategic business partners.

Supervision and oversight of email and social media communications for 4500

registered representatives and supervisors.

Management of various projects impacting the department as well as other

areas of the firm requiring strong risk management, analytical, partnering and

negotiating skills.

Continual evaluation and optimization of departmental process and procedures

for increase productivity, cost savings and efficient risk management.

Responsibility of directing team workflows, training, coaching, performance

management, development and staffing.

DIRECTOR OPERATIONS AND CONTROLS, PRUDENTIAL INSURANCE COMPANY OF AMERICA,

EAST BRUNSWICK, NJ

May 2007-March 2010

Responsibility of sustaining an ongoing compliant environment with a large

financial agency by implementing and maintaining efficient supervision

processes specific to Company, FINRA, SEC and State Regulations.

Supervision and monitoring of 113 registered representatives along with 5-

registered field supervisors.

Supervision of 35 remote offices housing 47 registered representatives.

Supervision included the implementation and ongoing monitoring of processes

specific to Company, FINRA, SEC and State Regulations.

Creation and implementation of training programs for new registered

representatives and members of agency management.

Creation and execution of marketing programs for new registered

representatives specific to their target market.

Management of budget totaling $1.2 million.

COMPLIANCE ANALYST, PRUDENTIAL INSURANCE COMPANY OF AMERICA, FORT WASHINGTON,

PA

June 1999 2007-Juy 2007

FIELD OFFICE EXAMINER/AUDITOR, PRUDENTIAL INSURANCE COMPANY OF AMERICA, FORT

WASHINGTON, PA

June 2001 – June 2004

COMPLAINT HANDLER, PRUDENTIAL INSURANCE COMPANY OF AMERICA, FORT WASHINGTON,

PA

June 1996-June 1999

Page 3: RMC RESUME FINAL

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EDUCATION ASSOCIATES DEGREE IN VISUAL COMMUNICATIONS, ART INSTITUTE OF PHILADELPHIA, PA

September 1989 – June 1993

REFERENCES ANDY AUGUSTINE

Chief Technology Officer, Smarsh, Inc.

Telephone: (404) 969-2847, Email: [email protected]

ERIC LARNARD

Vice President Product Management, Smarsh, Inc.

Telephone: (339) 499-8740, Email: [email protected]

LYNN DUSEK

Director, Consumer Relationship Marketing, Cambia Health Solutions

Telephone: (503) 866-1382, Email: [email protected]

TINA LLOYD

Vice President of Regulatory Supervision, Prudential Insurance Company of

America

Telephone: (609) 532-2913, Email: [email protected]

JIM MOLLO

Vice President of Risk Management, Prudential Insurance Company of America

Telephone: (973) 769-9656, Email: [email protected]

FRANK INGRAHAM

2nd Vice President Head of National Control Office, Guardian Life

Telephone: (215) 694-5054, Email: [email protected]