Compliance. Risk. Operations.

Innovative manager with ten years of experience in the Insurance and

Financial Services industry utilizing a unique blend of expertise in regulatory compliance and business operations. An MBA educated professional who excels in a fast-paced environment utilizing the skills of investigation,

documentation and analysis to achieve organizational objectives and bottom-

line results.

› Solid Industry Experience Experienced Manager

› Strong Education MBA

› Licensed Professional Series 7 & 24 Kansas – Life & Health

1. Problem Solving- critical thinking, decision-maker, conscientiousness, exceptional analytical skills, identifies problems in process design, making continuous improvements in efficiency and effectiveness.

2. Organization- multi-task oriented, controls a heavy workload, supervises work of others; self-directed, exceptional time management skills.

3. Innovative- creative, out-of-the-box thinking, able to apply knowledge and skills to new situations; open to ideas of others, self motivated.

4. Communication- strong interpersonal and communication skills, talent for clear oral and written communication; relates well to others and has the ability to confront difficult or stressful situations. Proficient in MS Word, Excel, PowerPoint, Lotus Notes, Outlook and Internet applications.

5. Self-motivated leadership- serves as inspiration to co-workers;

continual learner; achiever; willing to do what it takes to accomplish goals; strong team member, yet with ability to act and think independently.

Waddell & Reed

6300 Lamar Avenue

Shawnee Mission, Kansas 66202

913-236-2000

June 2006 – December 2008

Managed Suitability Review Team which provided case analysis and consultation on variable and fixed product transaction recommendations submitted by a field force of 2,300 Financial Advisors.

Recruited, hired, trained and supervised surveillance staff. Managed relationships with external strategic insurance partners to

provide compliant variable product training and systems problem resolution.

Developed and implemented suitability guidelines, policies and procedures related to the variable products offered by Waddell & Reed Financial Advisors.

Oversight of the review of surveillance exception reporting for the VP of Broker Dealer Compliance and Sr. VP and Chief Regulatory Officer.

Reviewed and analyzed Financial Advisor sales activities to detect trends or irregularities and recommend disciplinary action to the business unit.

Developed, implemented and monitored FINRA Rule 2821 Deferred Variable Annuity training for the firm.

Developed effective written defense in collaboration with legal counsel to FINRA, SEC and various other regulatory agencies issues arising from audits, examinations, regulatory inquires and customer complaints.

Prudential Financial

10801 Mastin Blvd., Suite 200

Overland Park, Kansas 66210

913-327-1060

October 1999 – June 2006

Implemented risk management procedures based on SEC & NASD regulations specific to replacement and financing. Developed action plans in conjunction with development unit and provided training to field agents. Monitored disciplinary patterns related to sales and service practices of the agent field force.

Investigated and documented sales practices for business quality monitoring of replacement and financing via electronic detection database system for the Arkansas, Kansas, Missouri and Oklahoma territory.

Worked in partnership with agency Financial Planners to achieve documentation requirements and timelines.

Prepared production reporting under weekly budget/management control process.

Managed customer complaints by managing expectations during client contact and compiling supporting documentation according to company policies.

Trained and mentored office staff. Assisted in team process of recruiting, hiring, payroll, performance appraisals and termination process.

Oversight of Errors and Omissions Insurance and Liability Insurance campaigns. Reviewed marketing materials. Tracked licensing and appointment process according to company policies.

Served as Liaison for computer technical support for company developed platforms such as leads distribution, on-line annuity and mutual fund performance, Sametime training, Navigator, Lotus Notes application, compensation dispute, and new business monitoring.

Master of Business AdministrationMidAmerica Nazarene University

Olathe, KansasG.P.A. 3.9

Bachelor of Arts, Social WorkTabor College

Hillsboro, KansasG.P.A. 3.6

“Jeannine has worked successfully at Waddell & Reed Inc., as a supervisor and manager of Variable Products. In this capacity she was able to master a variety of products benefits, features, costs and appropriately apply this knowledge to the review of submitted applications. In this review process, she was successfully able to identify client needs, wants and objectives and relate that to the product’s submission for accuracy and suitability. She also demonstrated skills that allowed her to ‘think outside the box’ looking for less expensive, more effective or efficient alternatives to meet those same client needs and objectives. I believe Jeannine would be a valuable asset to another Financial Services company who is seeking a person in this capacity with this skill set.”

William J. Miller, CLU, ChFC, CFP, Vice President, Director Sales Support & Services, Waddell & Reed

“When Jeannine was the Variable Products Manager in Compliance at Waddell & Reed, I worked with her to recruit and help staff her direct reports. Jeannine had previous experience hiring staff, was well-prepared for the interviewing process and used sound judgment in her hiring decisions. I would not hesitate to work with her again. We had an excellent working relationship - she made supporting her department a good experience and inspired me to work hard to find her the best candidates available.”

Linea Cooley, Sr. Employment Specialist, Waddell & Reed Financial Services

“I worked with Jeannine in a compliance consulting capacity while at Prudential. Jeannine's work was always competent, accurate and prompt. When examiners inquired about a function or process she was knowledgeable, confident, courteous and easy to work with. She was a great listener, always sensitive to the needs of the business while upholding the controls necessary to obtain a compliant support system. I have great confidence in Jeannine's abilities in assessment and risk management. I would highly recommend Jeannine for her financial services compliance knowledge, excellent judgement, and "can-do" attitude.”

Chentelle Kiphuth, Field Office Examiner, Prudential Financial

“I worked closely with Jeannine while at Prudential. Her strong work ethic, high integrity and drive for results were well respected. She was straight-forward on compliance oversight requirements, yet personable. She operates with a high degree of professionalism. She was knowledgeable of a vast array of operational issues and serviced my team with accuracy and a sense of urgency which increased our sales numbers.”

Shane Shinn,CMFC, CLTC, Manager, Financial Services, Prudential Financial

“I first met Jeannine as a fellow graduate student attending MidAmerica Nazarene University. As early as our first class, she demonstrated her exceptional capability as a person, academic, and working professional. During our two years as classmates, I came to understand and appreciate her ability to critically think through complex problems and develop innovative solutions. Her work was always timely, accurate, and exceptionally well researched. Her presentations were interesting, well prepared and expertly delivered. In my 35+ years of professional and academic experience, I have rarely experienced a person of her superior character and intellect. She is also a wonderfully warm and considerate individual who makes meetings or functions interesting and effective. I unconditionally endorse Ms. Kimerer and feel her drive, intellect, personal ethics, and warm personality would benefit any organization lucky enough to recruit her talents.”

Buddy Liston, Transportation Manager, Emery Worldwide

Windows 97, XP Microsoft Office Suite (2003,2007)

› Word› Excel› PowerPoint› Access

Lotus Notes & Outlook Internet Proficient

Software

913.859.9452 jeannine_kimerer@hotmail.com www.linkedin.com/in/jeanninekimerer