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Pete Rock, CLU, FLMI, Joins Currin Compliance Services, LLC

We very pleased to announce the addition of Pete Rock, CLU, FLMI as Senior Compliance Consultant. Prior to joining Currin Compliance, Mr. Rock was Vice President and Chief Compliance Officer for Crump Life Insurance Services.

With Currin Compliance, Mr. Rock will lead our Compliance Audit Unit. Mr. Rock brings his many years in field compliance to his on-site and remote analyses of IMO/FMO/BGA’s risk exposures, including:

  • Key operational processes
  • Product/vendor/charge-back contract language
  • High risk transactions
  • Carrier review processes and communication
  • Licensing and appointments
  • Suitability reviews
  • Information and data security
  • Anti-money laundering

We regularly receive requests for compliance audits and consultations from IMO/FMO/BGAs and the addition of Mr. Rock to our team allows us to better meet the demand. 

Pete Rock and I will both be at LIMRA/LOMA’s Regulatory Compliance Exchange: Winning Strategies for Managing Risk Today conference in Las Vegas March 20-22, 2013. Stop by our booth, give us a call, or email us to discuss how we can help you identify and manage your compliance risks. Contact: Cailie Currin at ccurrin@currincompliance.com or 518-692-2494.