Thomas Daniel

About Thomas Daniel

Senior financial services professional with 13+ years of results-proven experience in customer service, leadership, and compliance. Recently developed and led the testing and risk programs for the Broker-Dealer, Investment Adviser, and DOL compliance programs while managing 7 compliance professionals. Extensive regulatory knowledge and business acumen with subject matter expertise of FINRA rules and Investment Advisers 40 Act. CURRENT ROLE• Head of MMFA Compliance Testing & Risk, MassMutualPRIOR ROLES• Compliance Director, MassMutual• Compliance Consultant, MassMutual• Variable Annuity and VA Suitability Subject Matter Expert, MassMutualCORE COMPETENCIES• Agility • Broker/Dealer Supervisory Control Procedures • Business Acumen • Communication • Complex Problem Solving • Compliance • Corporate RIA Business Submission Policy and Procedures • Critical Thinking • Data Analysis and Decision Making • Diversity, Equity, and Inclusion (DEI) • FINRA • Investors Services • NAIC • New Business Requirements • Performance Improvement • Quality Control • Recruiting, Training, and Mentoring • Regulatory Knowledge and Operations • Risk Analysis • SEC • Securities Trade Reporting • Strategic Decision Making • Testing • Variable and Fixed Annuity Suitability • Microsoft Teams • Office 365 • Zoom • RingCentral • WebEx •EDUCATION• Bachelor of Science (B.S.) in ManagementLICENSES• FINRA Series 4, 7, 24, 53, 63CERTIFICATIONS• Candidate for CIMA® Certified Investment Management Analyst® (end of April 2022)• Certificate in Blockchain and Digital AssetsSM,(completion end of April 2022)e-mail: t••••••••@gmail.comphone:(50••••••49

Experience

1. Head of Mmfa Compliance Testing and Risk

   MassMutual

   Apr 2022 — Present · Springfield, MA, US

   Direct Reports: 7 Compliance Consultants responsible for FINRA 3120 and SEC 206(4)-7 testing.• Develop, manage, and continuously improve annual risk assessments for a large retail Broker-Dealer, a large retail investment adviser, and 2 small wholesale Broker-Dealers.

Education

• Westfield State University

  Bachelor of Science, Business Administration and Management, General

  2004 — 2009

Skills

• Microsoft Office
• Variable Annuities
• Series 7
• Mutual Funds
• Risk Management
• Training
• Retirement Planning
• Finra
• Investments
• Analysis
• Series 4
• Securities
• Series 63
• Customer Service
• Fixed Annuities
• Insurance
• Series 24
• Financial Services