rmc resume final
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215-284-6718 | www.linkedin.com/in/raymcg2
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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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
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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]