Napoleon Matucan

Director of Agency Standards @New York Life

Seattle, WA, US

PROFESSIONAL EXPERIENCE New York Life Insurance Company – Bellevue, WA Director of Agency Standards (2014 - present) Supervisory oversight for 200+ agent General Office covering a 3 state region. Conduct supervisory inspections and interviews; provide counsel and guidance on a wide range of compliance and regulatory issues; recommend and deliver disciplinary actions; conduct Firm Element, Registered Representative, and new agent training; Review and approve NASD Rule 3010 reports; Review and approve outgoing correspondence with clients; Maintain General Office’s Sales Materials; Conduct investigations; Handle written complaints; Interface with Corporate Compliance and the Office of General Counsel; Deliver disciplinary actions.* Achieved 97% proficiency in annual OSJ Audits * Completed 100% of inspections within standard * Developed systems to ensure consistent, thorough, and accurate inspections resulting in greater than 95% operational accuracy.* Achieved 97% proficiency in annual OSJ Audits * Completed 100% of inspections within standard * 5 time Operational Excellence Award recipient* Established SIE / Series 6 and Series 7 Study Groups for the Colorado General Office achieving an 80% first time pass rate. This was the highest first time pass rate in the West Central Zone.* 2021 Agency Standards Advisory Committee member – Interface with Home Office, Office of General Counsel and peers to improve standard operating procedures.

The American College of Financial Services

Chartered Financial Consultant

Florida State University

B.S.