Thomas O. Keenan

Thomas O. Keenan

Director at MassMutual

Location
Springfield, Massachusetts Area
Industry
Insurance

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Thomas O. Keenan's Overview

Current
Past
  • Manager at The Hartford
  • Compliance Manager at AIG
  • Compliance Manager at United Benefit Life Insurance Company
  • Senior Contract Analyst at The Millers Group
  • Senior Compliance Analyst at Principal Financial Group
  • Compliance Analyst at Amercian Republic Insurance Company
Education
Connections

42 connections

Websites

Thomas O. Keenan's Summary

Financial services professional with over 20 years of experience in domestic and international compliance and regulatory affairs, including management responsibility for insurance department relations, corporate training, product development and filing, market conduct issues, legislative and regulatory review, fraud, consumer and agent complaints, website development, auditing and the company privacy initiative.

Specialties

Domestic and international compliance and regulatory affairs and marketing, insurance department relations, product development, state filing, market conduct issues, legislative and regulatory review, fraud, consumer and agent complaints. Medicare Supplement, Long-Term Care Insurance, Major Medical Insurance, Hospital Surgical Insurance, Specified Disease Insurance, Disability Insurance, Life Insurance, Annuities, Securities and overall insurance product compliance.

Thomas O. Keenan's Experience

Director

MassMutual

Privately Held; 10,001+ employees; Financial Services industry

September 2007Present (7 years 1 month)

Oversee various compliance aspects of advertising and sales literature review for MMLISI a broker-dealer and registered investment advisor and Massachusetts Mutual Life Insurance Company.

• Review and approve advertising, sales literature (including field-developed materials, home office materials, websites, etc.) pursuant to corporate, SEC, FINRA, MSRB and the NAIC Model Act.
• Manage relationships with key/large field producers.

Manager

The Hartford

Public Company; 10,001+ employees; HIG; Financial Services industry

20062007 (1 year)

Directed The Hartford’s overall Contract Administration Compliance function, with responsibility for legislative and regulatory review, product development, state insurance department relations, filings, complaint resolution and market conduct issues. Assist in construction of departmental budget and expense analysis.

• Managed all aspects of state filings department.
• Directed the company’s implementation and compliance on major regulatory issues on a nationwide basis allowing for smooth transition and assured compliance.
• Facilitated The Hartford’s certificate of authority applications and entry into additional states and territories, therefore expanding our overall geographical exposure.
• Worked extensively with new business, policy owner service, claims, and agency services on training of associates on new procedures resulting from new compliance issues.

Compliance Manager

AIG

Public Company; 10,001+ employees; AIG; Insurance industry

April 1999September 2006 (7 years 6 months)

Directed American International Companies overall Compliance function, with responsibility for legislative and regulatory review, product development, state insurance department relations, filings, complaint resolution and market conduct issues. Assist in construction of departmental budget and expense analysis.

• Managed all aspects of state filings department.
• Developed and presented corporate and agent training programs.
• Developed, created and implemented department website.
• Directed the company’s implementation and compliance on major regulatory issues on a nationwide basis allowing for smooth transition and assured compliance.
• Created and implemented legislative and regulatory review guidelines.
• Created advertising compliance guidelines for use in development and review of all company advertising material.
• Spearheaded the compliance initiative regarding the creation and implementation of privacy policies for all AIG Domestic Accident and Health Companies.

Compliance Manager

United Benefit Life Insurance Company

19971999 (2 years)

Managed a department of ten employees who were responsible for Product Management, Development and compliance, Insurance Department relations, Departmental exams, product development, product and actuarial filings, agent licensing, legislative review, state reporting and departmental complaints and market conduct exams.

• Managed all aspects of state filings department.
• Developed requested policy forms in response to marketing initiatives and filed in a manner to allow for early approval and market introduction.
• Developed and presented corporate and agent training programs.
• Conducted review of statutory and regulatory changing impacting company products and operations resulting in continued compliance with all laws and regulations for licensed jurisdictions.
• Prepared management reports and trend analysis related to company annual reports.
• Coordinated all advertising printing, ordering and inventory management.

Senior Contract Analyst

The Millers Group

19961997 (1 year)

• Assisted with management of all aspects of state filings department.
• Prepared and filed property and casualty forms, rates and advertising pieces for approval in all jurisdictions.
• Developed requested policy forms in response to marketing initiatives and filed in a manner to allow for early approval and market introduction.
• Developed and presented corporate and agent training programs.
• Conducted review of statutory and regulatory changing impacting company products and operations resulting in continued compliance with all laws and regulations for licensed jurisdictions.

Senior Compliance Analyst

Principal Financial Group

Public Company; 10,001+ employees; PFG; Financial Services industry

19921996 (4 years)

• Managed, developed and prepared and filed all forms, rates and advertising pieces for approval in all domestic and international jurisdictions.
• Developed requested policy forms in response to marketing initiatives and filed in a manner to allow for early approval and market introduction.
• Developed and presented corporate and agent training programs.
• Conducted review of statutory and regulatory changing impacting company products and operations resulting in continued compliance with all laws and regulations for licensed jurisdictions.
• Represented the company in various compliance related trade association activities resulting in greater impact on input into new regulatory and legislative initiatives.
• Created advertising compliance guidelines for use in development and review of all company advertising material.
• Coordinated all advertising printing, ordering and inventory management.

Compliance Analyst

Amercian Republic Insurance Company

19891992 (3 years)

• Prepared and filed all forms, rates and advertising pieces for approval in all Domestic and International jurisdictions.
• Developed requested policy forms in response to marketing initiatives and filed in a manner to allow for early approval and market introduction.
• Presented corporate and agent training manuals and programs.
• Conducted review of statutory and regulatory changing impacting company products and operations resulting in continued compliance with all laws and regulations for licensed jurisdictions.
• Represented the company in various compliance related trade association activities resulting in greater impact on input into new regulatory and legislative initiatives.

Thomas O. Keenan's Education

Loras College

BA, Major: Marketing & Economics Minor: Classical Studies

19851989

Series 6 FINRA Registration, Series 26 FINRA Registration

Activities and Societies: Baseball, The Marketing Assoication of America, Intermural Athletics

West Des Moines Dowling

High School Diploma, College Prep

19811985

Thomas O. Keenan's Additional Information

Websites:
Interests:

Baseball, Football, Basketball, Hockey. Hunting waterfowl and upland birds. PS3 Video gaming, Fantasy Football.

Groups and Associations:

FLMI Coursework – Level I Complete Level I LOMA – Fundamental of Life and Health Insurance HIAA – Long-Term Care Associate ACS – Associate, Customer Service Coursework AIRC – Associate, Insurance and Regulatory Compliance Coursework Member of Life and Health Compliance Association Member of Society of Group Contract Analysts Member of Society of State Filers Association FINRA

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