WINDSOR, Conn., Aug. 21, 2008 — LIMRA announced today that Lawrence J. Niland has joined the organization’s Compliance and Regulatory Services Division, working with broker-dealer firms to identify solutions for their compliance and regulatory needs.
Niland was chief compliance officer for John Hancock Financial Network of Boston and Signator Investors, Inc., its broker-dealer and registered investment advisor. At John Hancock, Niland oversaw the U.S. retail sales force, as well as procedures and inspections of insurance market conduct, registered branches and independent and corporate investment advisory activities of 400 advisory representatives and 2,200 registered representatives, staff and field management. He has more than 34 years experience in the financial services industry including sales, management, training and development, operations and compliance.
"Larry's broad, in-depth experience in the areas of risk management, regulatory services, compliance education and training makes him an excellent addition to our team" said Tom Caraher, vice president, LIMRA Compliance and Regulatory Services. "With his track record of success in addressing such issues as branch office supervision, electronic monitoring practices, sales practice supervision, suitability, branch office examinations, anti-money laundering, privacy issues, and written supervisory procedures, he brings tremendous talent to our team."
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