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Tony Dowling

Assistant Vice President, Internal Audit - Product, Distribution & Operations @ Jackson

Assistant Vice President, Internal Audit - Product, Distribution & Operations at JACKSON NATIONAL LIFE INS CO

Lansing, Michigan Area

Ranked #258 out of 5,164 for Assistant Vice President, Internal Audit - Product, Distribution & Operations in Michigan

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Tony Dowling's Email Addresses & Phone Numbers

Tony Dowling's Work Experience

Jackson

Assistant Vice President, Internal Audit - Product, Distribution & Operations

Lansing, Michigan Area

Jackson

Assistant Vice President, Associate General Counsel, and Jackson Chief Compliance Officer

May 2010 to April 2018

Lansing, Michigan Area

Jackson

Associate General Counsel - Product Attorney

April 2006 to May 2010

Lansing, Michigan Area

Tony Dowling's Education

Thomas M. Cooley Law School

Juris Doctor

1992 to 1995

University of Massachusetts Boston

Bachelors of Arts, Political Science

1988 to 1990

UC Santa Barbara

Business Economics

1982 to 1984

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Open-minded
Communicator
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Tony Dowling's Estimated Salary Range

About Tony Dowling's Current Company

Jackson

Subject matter expert in relation to products, distribution, regulatory requirements and operational and financial service activities across the North American business. (The North American Internal Audit team is part of the Prudential plc (Jackson's parent company, which is based in the United Kingdom) Group-wide Internal Audit (GwIA) function. GwIA is an independent function responsible for assisting the...

Frequently Asked Questions about Tony Dowling

What company does Tony Dowling work for?

Tony Dowling works for Jackson


What is Tony Dowling's role at Jackson?

Tony Dowling is Assistant Vice President, Internal Audit - Product, Distribution & Operations


What is Tony Dowling's personal email address?

Tony Dowling's personal email address is to****[email protected]


What is Tony Dowling's business email address?

Tony Dowling's business email address is t****[email protected]


What is Tony Dowling's Phone Number?

Tony Dowling's phone (313) ***-*285


What industry does Tony Dowling work in?

Tony Dowling works in the Insurance industry.


Who are Tony Dowling's colleagues?

Tony Dowling's colleagues are Patsy King, Dr. Steven Smith, Dev Ganguly, Daniel Benaglio, Michael Costello, Grace Squibbs, JoDee Rice, Jacob Wootten, AAP, Bryan Redmon, and Pin Huang


About Tony Dowling

📖 Summary

Assistant Vice President, Internal Audit - Product, Distribution & Operations @ Jackson Subject matter expert in relation to products, distribution, regulatory requirements and operational and financial service activities across the North American business. (The North American Internal Audit team is part of the Prudential plc (Jackson's parent company, which is based in the United Kingdom) Group-wide Internal Audit (GwIA) function. GwIA is an independent function responsible for assisting the Board, Audit and Risk Committee members and executive management in protecting the assets, reputation and sustainability of the global Prudential plc organization through assessment and reporting on the overall effectiveness of risk management, controls and governance processes across Prudential plc's business units, including in the U.S., Africa and Asia.Oversee targeted work of Audit Managers and Audit Directors and ensure its alignment with regulatory expectations, industry best practices and internal audit standards. Manage, coach, develop and mentor audit team leaders within a matrixed structure. Create and implement the North American and global GwIA strategy and related yearly enhancement plan with the Vice President and Chief Audit Executive and other Internal Audit leaders. Lead and shape the ongoing development of processes and internal controls which mitigate the key business risk across North America. Prepare and present materials to the North American executive management, Board and Audit Committees and to the global GwIA Leadership Team, as needed. Engage with regulators regarding product, distribution and operations related to Internal Audit work. Lansing, Michigan AreaAssistant Vice President, Associate General Counsel, and Jackson Chief Compliance Officer @ Jackson Provided legal counsel and support concerning compliance, product development and implementation, market conduct, proposed law and regulation, legacy book, state regulatory filing, operational, distribution, complaint and external fraud, third party selling agreement, and third party contract matters for Jackson National Life Insurance Company (and Jackson National Life Insurance Company of New York). Responsibilities included ensuring the ongoing compliance with existing and future State insurance laws and regulation, Securities and Exchange Commission Rule 38a-1, Department of Labor regulation, as well as other legal and regulatory requirements. Also responsible for the ongoing compliance of Jackson's independent producers with legal and ethical sales practices. Oversaw the Market Conduct Unit (including the Annuity Suitability Team and the oversight of state market conduct examinations), the Separate Accounts Compliance Unit, the Anti-Money Laundering Unit and the Customer Relations Department (including the Special Investigations Unit). Provided leadership for a team of 30 associates, consisting of three attorneys and seasoned legal and compliance associates. Also liaised with colleagues in Prudential plc group compliance and responsible for Group Compliance deliverables concerning Jackson.Other responsibilities included management of the activities and cost of outside counsel, budgeting, hiring, associate training and development, senior board and committee presentations, and participation on industry trade committees. Worked closely with Litigation, Risk, Government Relations, and Audit functions as well as senior business associates on various matters. From May 2010 to April 2018 (8 years) Lansing, Michigan AreaAssociate General Counsel - Product Attorney @ Jackson Responsible for the legal counsel and support regarding developing and maintaining fixed and variable life insurance products. This included product and compensation design and operational conformity with applicable federal and state regulation; product implementation; and working with business and distribution compliance to assure proper policies, procedures and execution. In addition, responsibilities included reviewing draft product specification, contract/policies, endorsements and related forms and correspondence. Responsibilities also included preparing and filing all necessary registration statement, post-effective amendments and applications for exemptive relief with the Securities and Exchange Commission. Advised internal departments (i.e., Actuarial, Operations, and IT) and the Separate Accounts Chief Compliance Officer daily on various product, operational and compliance questions. From April 2006 to May 2010 (4 years 2 months) Lansing, Michigan AreaDirector, Broker Dealer Compliance, and Chief Compliance Officer @ The Hartford Responsible for the oversight and maintenance of supervisory and compliance policies and procedures for certain Hartford broker dealers (HESCO, HSD, HIFSCO) and transfer agents (HISC). Responsibilities included management of Office of Supervisory Jurisdiction ("OSJ") inspections and supervisory oversight of several hundred registered representatives. Responsibilities also included management of advertising and sales material review, Financial Industry Regulatory Authority ("FINRA")(formerly NASD) continuing education and FINRA licensing and registration. Served as anti-money laundering compliance officer to ensure compliance with the 2001 USA PATRIOT Act. Served as municipal securities principal (concerning 529 Plan products). Assisted with providing applicable compliance support for offshore products. Participated in and responded to various SEC and FINRA inquiries, including local FINRA District Office examinations. Implemented initial NASD Conduct Rules 3010, 3012 and 3013 assessments, reporting and certifications. Assisted with the re-writing the firms' written supervisory procedures. Also assisted with Legal/Compliance status presentations to the Board and with initial SEC Rule 38a-1 assessments. Supervised staff of 12. From March 2005 to April 2006 (1 year 2 months) Simsbury, ConnecticutJackson National Life Distributors LLC Chief Compliance Officer @ Jackson Responsible for all compliance functions for Jackson National Life Distributors LLC, the limited purpose broker dealer and wholesale distribution arm (of fixed and variable insurance products) of parent insurance company. Responsibilities included supervisory oversight of approximately 450 registered representatives (primarily wholesaling, marketing and operation associates), three branch offices, and an OSJ. Responsibilities also included advertising and sales material review, FINRA continuing education, the anti-money laundering program and FINRA licensing and registration, as well as Legal/Compliance status presentations to the Board. Advised senior management regarding all compliance matters and provided guidance to Marketing and Sales teams regarding a variety of distribution activities, including product development, marketing initiatives and market conduct practices. Participated in and responded to various SEC, FINRA and State Departments of Insurance inquiries, including local FINRA District Office examinations, FINRA Advertising Regulation spot-checks and SEC/FINRA sweeps. Re-wrote the firms written supervisory procedures. Supervised staff of four. From July 2002 to March 2005 (2 years 9 months) Greater Denver AreaAttorney, Variable Products Division @ Jackson Reviewed all advertising, marketing material and sales literature for Jackson and certain affiliated companies. Responsibilities included review of all corporate and registered representative submissions involving fixed and variable life products, and certificates of deposit, to ensure that all State, Federal and FINRA rules, regulations, standards, as well as company policies were met. Also responsible for providing advice and guidance concerning company trademark/copyright matters and anti-money laundering issues. Created and instituted company anti-money laundering program. From March 2001 to July 2002 (1 year 5 months) Lansing, Michigan AreaMarket Conduct Analyst @ Jackson Reviewed, monitored and analyzed producer sales activity to evaluate compliance with industry regulations and statutes, as well as compliance with company policies regarding replacements and ethical market conduct. Created exception reports and policy owner questionnaires. Identified questionable trends, red flags or legal issues, and recommended and assisted in the administration of appropriate corrective actions when necessary. Advised other departments on producer licensing, appointment and termination matters and worked with other departments to prepare company for State Departments of Insurance market conduct examinations. From August 1998 to March 2001 (2 years 8 months) Lansing, Michigan AreaCustomer Relations Department Manager @ Jackson Responsible for all incoming formal complaints and outgoing company responses. Assigned complaints to staff of eight, identified key issues and provided direction regarding individual responses. Reviewed responses for substance, clarity, brevity, accuracy, etc. Worked closely with senior management and in-house counsel, as well as department managers throughout the company to discuss complaints, identify areas of concern, and to determine the appropriate remedies. Duties also included overseeing the Special Investigations Unit, which investigated internal and external fraud. From July 1997 to August 1998 (1 year 2 months) Lansing, Michigan AreaCustomer Relations Representative @ Jackson Investigated and resolved policy owner and producer complaints, and policy owner related State Departments of Insurance complaints, received by Jackson. Worked with the appropriate parties to resolve immediate problems and to avoid litigation. Analyzed complaints to determine current and potential areas of concern in order to prevent long-term problems for Jackson. From January 1996 to June 1997 (1 year 6 months) Lansing, Michigan AreaAdjunct Professor @ Thomas M. Cooley Law School Taught "Intro to Law", which introduced first term students to legal analysis and exam writing techniques while also providing a general orientation of law school. From August 1995 to December 1997 (2 years 5 months) Lansing, Michigan AreaLaw Clerk, Legal Research Division - Legislative Service Bureau @ State of Michigan Prepared legal research memoranda, contracts, analyses, reports, and oral presentations for members of the Michigan Legislature, the Sentence Guidelines Commission, and legislative staff. From February 1994 to January 1996 (2 years) Lansing, Michigan Area


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In a nutshell

Tony Dowling's Personality Type

Extraversion (E), Sensing (S), Feeling (F), Judging (J)

Average Tenure

2 year(s), 8 month(s)

Tony Dowling's Willingness to Change Jobs

Unlikely

Likely

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