8/3/2019 Director Compliance and Ethics in Kansas City MO Resume Mary Mulloy

1/2

MARY M. MULLOY,J.D.

Lawrenceville, New Jersey 08648

302.784.5386 marymulloy3@gmail.com

SUMMARY

Compliance and Ethics Officer with significant experience in compliance program development andoversight. Highly respected for staff selection, employee development, certification training, lobbyinginstruction, networking and coaching skills. Brings substantial and logical problem-solving skills, sensitivegovernment relations, effective legal and narrative writing, and strong project planning to regulatory inquiries.Recognized for leading by example. Demonstrated abilities in compliance reviews and training, ethicsinvestigations, and legal and regulatory interpretations.

PROFESSIONAL EXPERIENCE

PRUDENTIAL FINANCIAL, INC., Newark, NJ 2009 - 2012

Vice President, International Insurance ComplianceManaged compliance program for international insurance subsidiaries in partnership with the ChiefCompliance Officer of International Businesses. Led a team of senior compliance officers in 10 PrudentialInternational Insurance subsidiary companies located in nine countries and directed a home office compliancestaff of seven professionals.

Reduced in-country fines and penalties through the introduction of compliance and ethics resources asfoundations for regulatory challenges while training staff to access a broader array of compliance andethics tools in order to find solutions to business challenges.

Oversaw the development and implementation of local in-country social media policies. This resulted inminimizing illegal, non-regulatory use as well as the early detection and subsequent prevention of

misappropriated company material usage by non-employees.Led three annual risk assessments of 11 companies and oversaw completion of 20+ action items thatresulted from measuring current practices against company policies and regulatory requirements.

Directed compliance teams role in internal investigations in four operations that led to employee or agentreprimands and revision of company compliance policies and procedures.

Developed a set of best practice standards tailored to individual company business practices and legal andregulatory requirements within each of nine different jurisdictions as an outcome of an Anti-MoneyLaundering Program review.

Co-developed companys first Global Social Media Policy and assisted in delivering appropriate electronicmonitoring tools that enabled multiple business units to simultaneously kick off social media marketingcampaigns while managing risks associated with employee and agent use.

AMERICAN LIFE INSURANCE COMPANY (ALICO), Wilmington, DE 2005 - 2009

Compliance DirectorCo-designed / developed a global Corporate and Insurance Regulatory Compliance Program in the home officeand launched the program to branches and subsidiaries in 50+ countries while exercising day-to-day oversightof 10 compliance officers working in 20 countries.

Delivered two global and regional compliance conferences for 40+ local compliance officers and 15international attorneys featuring internationally recognized speakers on Corporate Governance andInternational Corporate Ethics programs.

mailto:marymulloy3@gmail.commailto:marymulloy3@gmail.commailto:marymulloy3@gmail.com

8/3/2019 Director Compliance and Ethics in Kansas City MO Resume Mary Mulloy

2/2

MARY M.MULLOY,J.D. PAGE TWO

AMERICAN LIFE INSURANCE COMPANY, continued

Performed four annual compliance reviews of company operations in Greece, Russia, Romania and Japan,providing a gap analysis with recommended actions designed to bridge company policies, U.S. laws and

regulations and specific jurisdictional requirements.Served as company liaison to Delaware Department of Insurance in first-ever Market ConductExamination of companys sales, underwriting, claims and policyholder services departments. Over a 13-month review period, provided documentation and written responses that culminated in a final report withno adverse findings.

AMERICO FINANCIAL LIFE & ANNUITY INSURANCE CO., Kansas City, MO 2000 - 2005

Assistant Vice President and CounselPlanned, launched and directed a growing life insurance Regulatory Compliance Department. Selected, trainedand supervised staff in clearing regulatory hurdles imposed on product development, filing andimplementation.

Oversaw compliance reviews of companys top agencies and developed presentations on corrective

actions needed to bring such operations into compliance with state laws and regulations.Improved product approval process timeline by training on how to negotiate with insurance departmentregulators.

Provided compliance assessment / guidance about changing legislation / regulation impact on companymarkets, leading to projected changes in market forecasts.

GENERAL ELECTRIC COMPANY, Overland Park, KS 1990 - 2000

Assistant Vice President, Manager of Regulatory Compliance 1995 - 2000Managed 20 agent licensing, product development / filing and ISO reporting professionals for a start-upproperty and casualty insurance company associated with Employers Reinsurance Corporation. Administered$1.5 million dollar budget and oversaw consulting work / expenses conducted in India and Mexico.

Created companys first compliance operation to coincide with the creation of new direct lines commercialproperty / casualty company.

Acted as primary contact to state insurance department regulatory staff for negotiations on product filings,complaints and reviews by regulators.

Assistant Secretary and Counsel 1993 - 1995Staff Attorney 1990 - 1993

EDUCATION

Juris Doctor, University of Missouri, Kansas City, MOM.S., Urban Affairs, University of Wisconsin, Milwaukee, WI

B.A., Double Major in History and Political Science, University of Kansas, Lawrence, KS

CIVIC AND PROFESSIONAL ACTIVITIES

Admitted to Practice Law in KansasSociety of Corporate Compliance and Ethics, Certified Compliance and Ethics Professional

Association of Insurance Compliance Professionals, Associate Compliance ProfessionalWomen Vision International, Former Board Member, international microcredit lending group