Summary
Overview
Work History
Education
Skills
Skills Accomplishments
Certification
Timeline
Generic

JENNY GODFROY

HUNTINGTON,IN

Summary

Experienced in regulatory compliance with a strong skill set in critical analysis and problem-solving. Expertise lies in emphasizing team collaboration to navigate evolving regulatory environments and achieve desired outcomes. Keen eye for detail, bringing accuracy and reliability to every task.

Overview

33
33
years of professional experience
1
1
Certification

Work History

Branch Office Examiner

Osaic Wealth
05.2024 - Current
  • Independently complete all steps of the audit process on assigned branch office audits from from scheduling through to issuance of the final report.
  • Conduct onsite office exams evaluating branch activities and monitoring for compliance with applicable regulations.
  • Provide clear explanations of issues and areas of improvement found during office examinations.
  • Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam.
  • Serve as a resource to the field offices in collaborating on how best to resolve deficiencies identified during the exam process.

Compliance Analyst

Lincoln Financial Group
REMOTE, Indiana
01.2015 - 05.2024
  • Prepared annual audit schedule ensuring compliance with audit cycle requirements at both the state and federal level.
  • Participated in UAT testing of the AuditTrax system during initial implementation and as system updates were introduced. Testing included development and analysis of complex audit cycle data.
  • Served as a resource to the team and field offices in navigating and training on the AuditTrax system.
  • Assisted team management in analyzing quarterly audit deficiency reports, identifying compliance trends in preparation for reporting to senior management.
  • Scheduled and coordinated FINRA branch audits working with the field offices and team members to efficiently plan and monitor audit schedules.
  • Reviewed auditors’ workbooks prior to report issuance to ensure accuracy and completeness.
  • Issued audit reports and served as a resource to the field in how best to resolve issues.
  • Conducted branch audits both in person and remote for all three Lincoln Broker/Dealers ensuring compliance with company policies as well as FINRA and state regulations.

Unclaimed Property Analyst

Lincoln National Corporation
Fort Wayne, Indiana
01.2013 - 01.2015
  • Long term project working with Treasury management to resolve discrepancies between the general ledger and unclaimed property database.
  • Identified source of outstanding balances and worked with other business units to make take appropriate actions to resolve.
  • Extensive use of excel spreadsheet in analyzing data.

Senior Financial/Operational Auditor

Lincoln Corporate Center
01.2004 - 01.2013
  • Audit and review policies, procedures and systems of internal control within various LNC entities.
  • Develop internal control evaluations based on walkthroughs of client business areas.
  • Coordinate with audit team members to develop and execute test plans.
  • Participate in the verbal presentation of audit findings via closing meetings with audit client.
  • Assist in preparation of audit reports.
  • Participate in annual Sarbanes Oxley testing.

Internal Audit Compliance

Lincoln National Corporation
01.1996 - 01.2004
  • Senior Compliance Auditor (1998-2004), Compliance Auditor II (1996-1998)
  • Audited and reviewed corporate policies, procedures and systems of internal control, verifying compliance with statutory and regulatory requirements.
  • Performed compliance/market conduct audits for OSJ and branch offices.
  • Audits included in-depth client file reviews, agent market conduct interviews and operational efficiency and compliance analysis.
  • Maintained current knowledge of key compliance and regulatory requirements and their impact on the corporation.
  • Organized and hosted quarterly compliance meetings for registered representatives and compliance employees.

Securities Accounting and Reporting Analyst

Lincoln Investment Management
01.1992 - 01.1996
  • Maintained accurate controls over cash receipts and disbursements
  • Ensured the timely and accurate accounting and reporting for the multi-billion dollar securities investments of the various companies, funds and accounts in the Lincoln Corporate family.

Education

B.S. - Accounting

Manchester College
North Manchester, IN
01.1992

Skills

  • Microsoft Office (Word, Excel, Power Point)
  • RegEd System (Audit Trax)
  • Data analysis
  • Assessment of Internal Controls
  • Report writing
  • Regulatory Compliance

Skills Accomplishments

  • Microsoft Office proficient, including extensive work with Word and Excel as well as experience with Access databases
  • Obtained CPA, FLMI, AAPA and ACS designation
  • Successfully completed FINRA Series 7 and Series 24 Exams
  • Treasurer, FLMI Society

Certification

CPA

FINRA Series 7

FINRA Series 24

FLMI


Timeline

Branch Office Examiner

Osaic Wealth
05.2024 - Current

Compliance Analyst

Lincoln Financial Group
01.2015 - 05.2024

Unclaimed Property Analyst

Lincoln National Corporation
01.2013 - 01.2015

Senior Financial/Operational Auditor

Lincoln Corporate Center
01.2004 - 01.2013

Internal Audit Compliance

Lincoln National Corporation
01.1996 - 01.2004

Securities Accounting and Reporting Analyst

Lincoln Investment Management
01.1992 - 01.1996

B.S. - Accounting

Manchester College

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JENNY GODFROY