Beth Jalbert

About Beth Jalbert

Director of Compliance with over 24 years in the Life Insurance & Annuity Industry. Highly motivated, results oriented professional with excellent organization skills as well as the ability to manage multiple projects simultaneously. Proven record of reducing costs while increasing productivity and efficiency. Proficient at evaluating existing operations and implementing strategies, processes and technologies that enhance organizational effectiveness; developing and motivating teams focused on quality control and compliance. Strong interpersonal and communication abilities along with an ability to adapt quickly to changing environments.

Experience

1. Director of Compliance

   Dayforward

   Jan 2023 — Present

   Registered Supervisory Principal: Series 6 and 26 Licensed/AML Compliance OfficerI work daily to help manage the Compliance department. I train everyone on all pertinent compliance rules and track/monitor all compliance related procedures and processes.I lead regulation research if there is a question or concern that is raised. I assist in legal interpretation of statutes, laws, proposed/active regulations. I have created, and continue to create 50 state law charts for various topics like anti-rebating rules, replacements, spousal consent, etc.I am the lead on making sure our company and internal/external agents are properly licensed and appointed in each applicable state. I take care of all renewals as well.I review and approve advertisements for our company; website information, facebook, instagram, emails, etc. if there is a compliance question or concern, I am one of the main contacts.I conduct monthly tracking of where people are spending their time and what protects they are working on to make sure we are delegating work among the business efficiently.I take lead on utilizing different systems like SuranceBay, NIPR, Lexis Bridger Tool, Drata and Confluence company/operation updating.

Education

• New Hampshire Technical Institute

  Associate's Degree

Skills

• Compliance
• Finra
• Legal Research Skills
• Analysis
• Retirement
• Business Analysis
• Variable Annuities
• Life Insurance
• Quality Auditing
• Series 6
• Mutual Funds
• Insurance
• Risk Management
• Strategic Planning
• Securities
• Investments
• Research
• Suitability Analysis
• Indexed Annuities
• Risk Assessment
• Financial Services
• Series 26
• Supervisory Principal
• Fixed Annuities
• Business Process Improvement