MICHELE LAPONTE
Schaumburg
Summary
With a strong drive for operational success, I bring over 20 years of experience in the insurance, securities, and compliance industries. Throughout my career, I have focused on operations, playing a crucial role in supporting the organization's strategic goals and driving company objectives forward. My expertise lies in effectively aligning operational processes with the overall vision of the company, ensuring seamless execution and optimal outcomes.
Overview
25
25
years of professional experience
1
1
Certification
Work History
Senior Compliance Consultant
Arthur J. Gallagher
11.2023 - Current
- Stayed current with latest changes to applicable regulatory standards and company procedures.
- Coordinated with Chief Compliance Officer and led overhaul of Financial and Retirement Professional Standards including the implementation of three new Professional Standards
- Developed improvement and corrective action plans to coordinate with Business Line Leaders to address findings from internal audits. These plans have led to an complete overhaul of the E&O Database attestation requirements and changes to SOP's to ensure required legally binding documents are executed with clients.
- Helped create ongoing training programs to handle system-wide issues and maintain compliance.
Internal Operations Compliance Consultant/Professional Standards Manager
GALLAGHER BENEFIT SERVICES
06.2012 - Current
- Interpret, design, implement and track risk management policies based on evolving legislative and executive initiatives to mitigate risk, ensure compliance and drive quality
- Produce, prepare and communicate compliance related reports for the executive committee
- Responsible for initial training design, implementation and auditing new acquisition partners
- Conduct ongoing training for established branches on compliance related issues and professional standards
- Appointed to committee responsible for vetting and recommending the first MGU organizations to partner with GBS to the Executive Board
- Launched and piloted program and training for GBS audit team in India
- Prepare internal training related compliance material and resources
- Host onsite meetings with branches to assist with training and incorporating professional standards
- Conduct onsite audits with branches not meeting internal passing audit criteria
- Manage, submit and communicate all of the submissions and approvals for security related marketing
- Team lead responsible for planning, managing and executing on multiple collaborative projects including Training Webinars, FINRA submissions and Internal Compliance Reporting
- Lead annual project contacting, compiling and communicating approved National Carrier list
- Maintain internal compliance portal responsible for housing compliance requirements and branch required documents
- Responsible for a wide range of specialty projects including creating New Compliance Controls, Covid-19 Communication Project, Divisional contact for Bank Signatory Authority and Revenue Recognition
- Built and maintain relationship as a Compliance Resource for over 150 US and Canadian branches
- Consistently receives highest ratings during employee performance reviews
Field Compliance Coordinator/Securities Principal
STATE FARM INSURANCE
01.2005 - 05.2011
- Promoted to this position for consistently exceeding performance expectations in previous position
- Managed and supervised more than 60 registered representatives, including training associates on new agency, bank and securities products
- Completed agency, bank and securities supervisory audits for 100 agents annually
- Built and maintained relationships with 100 agency offices and four agency leadership offices
- Managed validation requirements and submitted appeals
- Provided disciplinary recommendations to the sponsorship committee
- Implemented and maintained established agency, bank and securities compliance programs
- Facilitated, presented and tracked 14 agency and securities compliance annual meetings attended by up 100
- Responded to FINRA inquires as a Registered Principal
- Investigated agency exception and trend reports
- Consistently received highest ratings during employee performance reviews
Bodily Injury Claims Representative
STATE FARM INSURANCE
01.2002 - 01.2005
- Managed a high volume of personal injury automotive claims including coverage questions, liability determinations and damage evaluations
- Evaluated and negotiated settlements with claimants or personal injury attorneys
- Trained new automotive claims representatives resulting in improved productivity and reduced turnover
Property Damage Claims Representative
STATE FARM INSURANCE
01.2001 - 01.2002
- Initial responsibilities expanded upon securing knowledge and competence in property claims divisions
- Managed a high volume of property damage claims including coverage questions, liability determinations and settlement negotiations
- Consistently exceeded expectations in terms of settling claims and maintaining proper file inventory
Assistant/Paralegal
GARRETSON AND SANTORA, LTD
01.2000 - 01.2001
- Reorganized office processes to achieve efficiencies; prepared files for court appearances; Scheduled depositions of expert witnesses
Education
Bachelor of Science - Business Administration
Illinois State University
Normal, IL08-2000
Skills
- Policy management
- Analytical investigation techniques
- Risk management and auditing
- Regulatory research
- Training facilitation
Certification
- FINRA Series 6 License
- FINRA Series 26 License
- FINRA Series 63 cense
Timeline
Senior Compliance Consultant
Arthur J. Gallagher
11.2023 - Current
Internal Operations Compliance Consultant/Professional Standards Manager
GALLAGHER BENEFIT SERVICES
06.2012 - Current
Field Compliance Coordinator/Securities Principal
STATE FARM INSURANCE
01.2005 - 05.2011
Bodily Injury Claims Representative
STATE FARM INSURANCE
01.2002 - 01.2005
Property Damage Claims Representative
STATE FARM INSURANCE
01.2001 - 01.2002
Assistant/Paralegal
GARRETSON AND SANTORA, LTD
01.2000 - 01.2001
Bachelor of Science - Business Administration
Illinois State University
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