Summary
Overview
Work History
Education
Skills
Additional Information
Krav Maga -
Timeline
Generic

Auludyn Greywolfe

Tempe

Summary

Experienced Compliance Manager ready to ensure an organization is complying with all its regulatory processes and policies. Background in evaluating testing procedures, preparing for both internal and external audits, reviewing reports for regulatory agencies and monitoring oversight procedures with advanced technology. Will collaborate with department heads, management and business partners in the implementation of compliance programs to help mitigate operational risk.

Overview

27
27
years of professional experience

Work History

Field Compliance Consultant

MassMutual
03.2023 - Current
  • Conducted In-Depth Risk Assessments: Performed thorough risk assessments with Field Agencies to identify compliance gaps, vulnerabilities, and emerging risks, delivering actionable recommendations that mitigated potential issues and strengthened organizational resilience.
  • Enhanced Agency Compliance through Proactive Guidance: Initiated and expanded monthly compliance guidance calls with agencies identified as below acceptable standards in their prior annual audits, collaborating closely with local Agency Supervisory Officers to elevate performance from less than Satisfactory to Satisfactory ratings. By delivering targeted training and increasing awareness of compliance policies, procedures, and regulatory requirements (e.g., FINRA, SEC), improving policy adherence metrics and strengthened overall business practices, helping ensure sustained regulatory compliance.
  • Fostered Cross-Functional Collaboration: Partnered with legal, operations, and product teams to align compliance initiatives with organizational goals, ensuring seamless integration of compliance requirements into business processes of field agencies.
  • Executed Audit Processes: Adhered to robust audit methodologies to evaluate adherence to internal controls, policies, and legal requirements, identifying deficiencies and implementing corrective actions to enhance field operational integrity.
  • Strategized with Leadership on Risk Mitigation: Collaborated with management to develop and implement targeted strategies addressing identified compliance risks, improving risk management outcomes and operational efficiency.
  • Resolved Complex Compliance Issues: Play a pivotal role in addressing high-stakes compliance challenges, leveraging strong problem-solving skills and adaptability to achieve successful resolutions with Agency Supervisory Officers within their Agencies.
  • Reviewed and Interpreted Audit Reports: Analyzed audit and monitoring reports related to producer and agency activities, identifying trends and recommending process improvements to enhance compliance oversight.
  • Identified and Addressed Process Gaps: Proactively identified deficiencies in existing compliance processes, proposing and implementing updates that strengthened controls and improved regulatory adherence.
  • Supported Strategic Compliance Planning: Assisted in developing compliance objectives and strategies within my department, aligning them with organizational priorities to foster a culture of compliance and risk awareness.
  • Provided Expert Consulting and Project Support: Delivered consulting and project management support to ensure compliance with regulations, maintain robust compliance programs, and educate compliance teams on risk management best practices.
  • Demonstrated Strong Communication and Influence: Effectively communicated complex compliance concepts to diverse stakeholders, influencing decision-making at all organizational levels to drive compliance initiatives forward.

Agency Supervisory Officer

GoldBook Financial - MassMutual
07.2017 - 03.2023
  • Upheld Corporate Ethics and Compliance Standards: As Agency Supervisory Officer, ensured strict adherence to corporate ethics and compliance regulations, including FINRA, SEC, NAIC, and State Insurance Department requirements, fostering a culture of integrity and regulatory compliance across agency operations.
  • Collaborated with Regional Compliance Partners: Partnered with regional compliance teams to ensure consistent application of processes and procedures, streamlining operations and enhancing alignment with organizational compliance objectives.
  • Developed and Monitored Internal Compliance Processes: Designed and implemented robust internal compliance frameworks to ensure financial advisors operated within regulatory and company guidelines, optimizing efficiency while maintaining compliance, resulting in a significant reduction in compliance violations.
  • Oversaw Comprehensive Compliance Operations: Managed critical compliance functions, including email surveillance, trade reviews, new business evaluations, written correspondence, outside business activity approvals, agency online cashiering (AOC), licensing, continuing education, individual and detached office compliance reviews, and sales material audits, ensuring operational integrity and regulatory adherence.
  • Coordinated Firm Element Training Program: Led the coordination and documentation of MassMutual Investor Services’ continuing education program, ensuring all financial advisors and agency associates completed required firm element training, achieving 100% compliance with training mandates.
  • Developed Targeted Compliance Training Programs: Created and delivered customized compliance training programs and written materials, addressing specific regulatory needs and improving advisor adherence to policies.
  • Maintained Comprehensive Agency Records: Oversaw the maintenance of all required agency records in accordance with company policy, including prospectuses, applications, “do-not-call” lists, advertising, correspondence, complaint files, employment and licensing records, and transaction review reports, ensuring audit readiness and regulatory compliance.
  • Conducted and Oversaw Office Inspections: Performed inspections of detached locations per compliance policies, or supervised assigned personnel in conducting such inspections, identifying and addressing material deficiencies to ensure operational compliance.
  • Addressed Compliance Deficiencies: Notified the General Agent of material compliance deficiencies, developing and implementing written action plans to resolve issues, reducing non-compliance incidents across inspected locations.
  • Supported Internal Investigations: Assisted the General Agent in conducting internal investigations into inappropriate conduct by producers and associates, developing corrective action plans to address issues and prevent recurrence, strengthening agency compliance culture.
  • Served as Regulatory and Home Office Liaison: Acted as the primary point of contact for regulators and home office compliance, legal, and audit teams, facilitating seamless communication and coordination during investigations and compliance reviews.
  • Ensured Timely Execution of Delegated Duties: Oversaw the accurate and timely completion of all delegated compliance tasks, maintaining operational efficiency and regulatory compliance across agency functions.
  • Aligned Objectives with Company Mission: Collaborated with leadership to develop integrated strategies that aligned organizational objectives with the company’s mission, while supporting business growth through compliance-focused initiatives.

Senior Agency Compliance Consultant

Metlife
06.2015 - 07.2017
  • Identified and Mitigated Compliance Risks: Proactively identified potential areas of compliance vulnerability and risk through comprehensive assessments, developing and implementing targeted corrective action plans that reduced compliance incidents and strengthened organizational adherence to regulatory standards (e.g., FINRA, SEC).
  • Delivered Expert Compliance Guidance and Training: Provided strategic guidance, advice, and tailored training programs to enhance business units’ understanding of applicable laws and regulatory requirements, improving compliance awareness and policy adherence across the organization.
  • Served as Acting Principal: Acted as backup principal to the Managing Director, seamlessly assuming leadership responsibilities to ensure continuity of compliance oversight, operational efficiency, and regulatory adherence during their absence.
  • Ensured Efficient Securities Transaction Processing: Reviewed securities transactions to verify timely submission, accuracy, and compliance with regulatory requirements, streamlining processes to achieve a 98% rate of prompt, error-free processing.
  • Facilitated Cross-Departmental Compliance Resolution: Collaborated with risk management, internal audit, and employee services departments to direct compliance issues to appropriate channels for investigation and resolution, reducing resolution time and enhancing interdepartmental coordination.
  • Optimized Regulatory and Operational Performance: Enhanced regulatory, strategic, and operational performance by aligning processes with home office deadlines, ensuring 100% compliance with prescribed timelines and improving overall organizational efficiency.
  • Supported Supervision of Detached Locations and Brokers: Assisted the Managing Director in supervising registered detached locations and brokers, conducting oversight to ensure compliance with regulatory standards and company policies, resulting in improvement in branch compliance metrics.
  • Conducted Comprehensive Compliance Reviews: Performed detailed compliance reviews of business units’ operating practices and administrative procedures, identifying potential risks and implementing corrective measures to mitigate vulnerabilities and ensure regulatory alignment.
  • Communicated and Remediated Compliance Findings: Presented results of compliance reviews to senior management, clearly articulating deficiencies and collaborating on remediation plans, achieving a 95% remediation success rate for identified issues within established timelines.

Senior Compliance Analyst, Investment Advisor

Metlife
05.2009 - 06.2015
  • Oversaw Wealth Management Services (WMS) Program: Provided robust oversight of the WMS program to ensure Investment Advisor Representatives (IARs) upheld fiduciary responsibilities, actively managing client accounts in alignment with proposals based on client risk tolerance, achieving a 98% compliance rate with allocation standards.
  • Notified Stakeholders of Account Violations: Proactively identified and communicated pending actions against non-compliant WMS accounts, issuing formal notices to listed IARs and agency management teams, ensuring timely awareness and corrective action to maintain regulatory adherence.
  • Developed and Distributed Compliance Notices: Created and directed notices to field agencies regarding Investment Advisory code violations, outlining actionable follow-up plans and implementing IAR trade policies and protocols, reducing violations through enhanced accountability.
  • Authored Compliance Procedures and Protocols: Developed comprehensive written procedures and protocols to address supervisory and operational deficiencies, implementing corrective action plans and enhanced supervision strategies for producers with identified compliance issues, improving process adherence.
  • Demonstrated Expertise in Company Operations: Leveraged in-depth knowledge of company operations, systems, products, and services to streamline compliance processes, ensuring seamless integration of regulatory requirements into business practices.
  • Collaborated with Corporate Ethics and Compliance (CEC) Department: Partnered closely with CEC management to identify, track, and resolve potential regulatory risks through rigorous testing of Broker-Dealer and compliance processes, mitigating risks and enhancing operational integrity.
  • Exhibited Strong Interpersonal Skills: Effectively engaged with compliance teams, business leadership, and interoffice departments, fostering collaborative relationships to drive compliance initiatives and align with organizational goals.
  • Identified and Addressed Control Gaps: Proactively identified potential control gaps in compliance processes, recommending and implementing targeted enhancements to strengthen internal controls and mitigate risks.
  • Performed Testing of Key Controls: Conducted regular testing and monitoring of key controls to mitigate sales practice risks, ensuring robust compliance with regulatory standards and firm policies.
  • Generated Trending Reports for Leadership: Prepared detailed trending reports on compliance issues for management review, providing actionable insights that informed strategic decision-making and policy updates.
  • Oversaw Centralized Suitability Review Process: Conducted oversight testing of the centralized suitability review process, evaluating timeliness, thoroughness, and trends, achieving a 98% adherence rate to review standards.
  • Managed Issue Resolution: Referred identified compliance issues to appropriate channels, ensuring timely and effective resolution, with 90% of issues addressed within established deadlines.

New Business Principal

Metlife
05.2007 - 05.2009
  • Reviewed and Approved Brokerage Account Applications: Conducted thorough reviews and approvals of all new brokerage account applications across multiple Broker/Dealer channels (MSI, NES, WSS, TSS), helping ensure 100% compliance with business, regulatory (e.g., FINRA, SEC), and internal policy requirements.
  • Ensured Compliance Across Distribution Channels: Oversaw and approved new account applications from various broker-dealer distribution channels, rigorously verifying adherence to business standards, compliance protocols, and regulatory requirements, streamlining onboarding processes and reducing non-compliance incidents.
  • Enhanced Account Processing Quality: Performed detailed quality reviews of new account setups and account maintenance processes, identifying deficiencies and implementing improvements that increased process accuracy and enhanced operational efficiency.
  • Resolved Inquiries and Issues Efficiently: Acted as a primary point of contact for field representatives, internal departments, and clearing houses, promptly addressing inquiries and resolving complex issues related to account applications and compliance, achieving a 95% resolution rate within 24 hours.
  • Documented and Standardized Departmental Procedures: Collaborated with management to develop and document comprehensive departmental policies and procedures, creating clear, actionable guidelines that improved consistency and compliance across account review processes.
  • Analyzed and Resolved Compliance Challenges: Analyzed complex situations and procedures, defining problems and developing logical, clear, and concise recommendations and solutions, leveraging in-depth knowledge of financial services compliance regulations, securities transactions, and suitability standards to mitigate risks and enhance operational performance, substantially reducing compliance-related issues.

Senior Broker/Dealer Service Representative

Metlife
09.2005 - 05.2007
  • Provided Comprehensive Client Account Information: Delivered accurate and timely information to Broker/Dealer Sales Representatives regarding client account balances, transaction histories, and account details, enhancing client service delivery and achieving a 95% satisfaction rate among representatives.
  • Clarified Broker/Dealer Policies and Procedures: Clearly explained and interpreted complex Broker/Dealer policies, procedures, and commission structures to Sales Representatives, improving their understanding and application of guidelines, resulting in an increase in policy adherence.
  • Ensured Compliance with Regulatory Standards: Maintained strict adherence to business, compliance, regulatory (e.g., FINRA, SEC), and processing benchmark requirements across all client account activities, reducing non-compliance incidents through proactive oversight.
  • Educated on Compliance and Due Diligence: Provided detailed explanations and clarifications of compliance rules and regulations related to client account maintenance and due diligence, ensuring Sales Representatives followed best practices and regulatory standards, enhancing account integrity.
  • Supported Broker/Dealer Representatives: Furnished Sales Representatives with in-depth guidance on company services, paperwork requirements, and technical inquiries related to operational procedures, streamlining processes and improving operational efficiency.
  • Facilitated Software Navigation and Corrections: Assisted Sales Representatives with navigating various software applications, troubleshooting issues, and correcting information feeds, reducing errors by 30% and improving system usability for client-facing teams.
  • Resolved Complex Inquiries and Escalated Issues: Researched and addressed complex questions and problems, providing timely resolutions or escalating issues to the appropriate Department Manager when necessary, achieving a 90% resolution rate within 48 hours and ensuring seamless client support.

Municipal Bond Specialist

Bergen Capital
05.2002 - 11.2002
  • Conducted In-Depth Financial Research: Analyzed corporate and municipal loan ratios of assets to debt, determining optimal allocation for client accounts across various rating grades for fixed income portfolio components, ensuring alignment with risk profiles and enhancing portfolio stability.
  • Developed Advanced Investment Tracking Systems: Designed and implemented innovative investment tracking methodologies to monitor market conditions, enabling data-driven decisions that maximized client portfolio growth, achieving an average annualized return increase for managed accounts.
  • Strategized for High-Net-WorthClients: Assessed individual risk profiles and crafted tailored estate planning strategies for high-net-worth clients, optimizing wealth preservation and growth, resulting in improvement in client satisfaction and retention rates.
  • Led Financial Seminars for Diverse Audiences: Hosted engaging financial seminars for corporate business clients and high net worth retail investors, delivering actionable insights on investment objectives and risk tolerance, driving an increase in client engagement and investment commitments.

Financial Advisor

Morgan Stanley
06.1998 - 03.2002
  • Optimized Investment Strategies Through Risk Assessment: Conducted comprehensive risk profile assessments for clients, developing tailored investment strategies that maximized returns while aligning with individual risk tolerances, achieving average portfolio growth across managed accounts.
  • Developed and Implemented Client Financial Plans: Evaluated clients’ financial needs and objectives through in-depth consultations, designing and executing customized financial plans that enhanced wealth accumulation and met long-term goals, increasing client plan adoption by 30%.
  • Applied Technical and Fundamental Analysis: Utilized advanced technical and fundamental analysis techniques to identify market trends and isolate high-value investment opportunities, resulting in a 15% improvement in portfolio performance for beneficial and value-driven investments.
  • Delivered Analytical Solutions with Clarity: Demonstrated strong analytical skills by assessing complex financial situations, defining problems, and presenting clear, concise recommendations and solutions, leveraging deep knowledge of investment principles to drive informed decision-making and client satisfaction.
  • Managed High-Volume Client Portfolios: Oversaw a diverse portfolio of over 200 client accounts, providing personalized investment management and strategic guidance, maintaining a 95% client retention rate through proactive engagement and consistent performance delivery.

Education

Bachelor of Science - Business Administration

University of Phoenix
Phoenix, AZ
08.2022

Skills

  • MS Word, MS Excel, MS PowerPoint
  • Leadership and People Development
  • Effective Communicator and Public Speaker
  • Employee Motivation and Performance
  • Integrity and Transparency
  • Flexible and Adaptable
  • Strategic Planning
  • Board Oversight

Additional Information

  • PROFESSIONAL LICENSES: , FINRA Series 7, 24, 4, 53, 55, 63, SIE Insurance: Life & Health

Krav Maga -

Discipline & Self-Control

I currently Study Krav Maga (Israeli Defense / Martial Arts), with a clear goal to obtain my Black Belt.

Krav Maga builds many internal benefits, both physical and mental and are as follows:

Confidence & Self-Esteem

There are a wealth of benefits that come from healthy self-confidence from helping you manage fears and maintain a positive mental attitude through the most challenging of times.


With self-discipline comes all kinds of beneficial improvements to your life including advanced focus, new found respect, better health & fitness along with having an easier time at work or school. The bedrock of Martial Arts is founded on teaching discipline and self-control to its students. This self discipline and focused attitude will positively encompass all aspects of life both professionally or in your personal.


Timeline

Field Compliance Consultant

MassMutual
03.2023 - Current

Agency Supervisory Officer

GoldBook Financial - MassMutual
07.2017 - 03.2023

Senior Agency Compliance Consultant

Metlife
06.2015 - 07.2017

Senior Compliance Analyst, Investment Advisor

Metlife
05.2009 - 06.2015

New Business Principal

Metlife
05.2007 - 05.2009

Senior Broker/Dealer Service Representative

Metlife
09.2005 - 05.2007

Municipal Bond Specialist

Bergen Capital
05.2002 - 11.2002

Financial Advisor

Morgan Stanley
06.1998 - 03.2002

Bachelor of Science - Business Administration

University of Phoenix

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Auludyn Greywolfe