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JAMES O. LITES, III - COVER LETTER AND RESUME

JIM OFFERS:

COVER LETTER:

James O. "Jim" Lites, III

401 Parkway Place Drive

Little Rock, Arkansas 72211

Telephone: 501.219.3670

Wireless/Voice Mail: 501.590.8417

E-Mail: Jlites@sbcglobal.net

Secondary E-Mail: JOLites@employment911.com

RE: Available Positions

Dear Human Resources Representative:

I have extensive management experience in administration, audits and examinations, business operations, call centers, consumer affairs, information systems, legal and regulatory issues, managed care, marketing, market conduct, personnel training, provider relations, public speaking and state government operations. I have strong verbal and written communications skills, which I have applied in both my business and personal life. I am experienced and proficient on both mainframe and PC-based hardware and software applications, with some knowledge of Internet programming languages. I designed and have maintained for over 7 years an Internet website devoted to a self-help program I developed, which has reached out to individuals in over 67 countries. My wide range of management opportunities has allowed me to create effective and efficient departments, while maintaining a high degree of morale.

In recent years, I have invested a considerable amount of time addressing the ever-changing issues related to the Health Insurance Portability and Accountability Act of 1996 (HIPAA). Some of my more comprehensive work in the area of HIPAA involved research concerning the application of the law to secondary insurance coverage. In 1998, I had several contacts with the Kansas City, Missouri office of the then Health Care Finance Administration relative to their interpretation of the law and the original congressional intent, including testimony before the United States Congress and statements of various governmental officials prior to congressional approval of HIPAA. My work, combined with contacts between outside counsel and the HCFA General Counsel’s office, resulted in the issuance of Transmittal No. 99-01, effectively the first general clarification of a point of law related to HIPAA. I have continued to work with and research health insurance-related issues and legislation through the current date.

Additionally, I have completed a considerable amount of research into the Graham-Leach-Bliley Act (GLBA), and more recent privacy issue changes in HIPAA. I have developed, authored and presented company-wide training for privacy-related issues of both GLBA and HIPAA. I researched, developed and implemented the first formal electronic commerce procedures and practices for my current employer. I am experienced on a number of legal research tools, to include Westlaw, NILS INSource, Oden, LexisNexis, Thomas-Library of Congress and numerous web-based legal resources.

Over my 28 years in the insurance industry, I have developed and maintained a considerable number of personal contacts within both the public and private sectors of life and health insurance. I have participated as both a regulatory and industry member and/or committee member of several professional insurance associations, such as the Association of Insurance Compliance Professionals, the Life and Health Compliance Association and the Insurance Consumer Affairs Exchange.

I would appreciate the opportunity to discuss my qualifications for any position for which I might qualify with you at your convenience. Please feel free to contact me by e-mail or by telephone either at my home number, 501.219.3670, or my wireless number, 501.590.8417.

Sincerely,

James O. “Jim” Lites, III

Jlites@sbcglobal.net or Jolites@employment911.com

Sincerely,

James O. "Jim" Lites, III

RESUME:

OBJECTIVE

To utilize my abilities and experiences in both the public and private sectors of business to the greater good of a perspective employer's internal and external clients.

EXPERIENCE

August, 2002 - Present Transamerica Worksite Marketing/AEGON, Little Rock, AR

Assistant Manager, Product Implementation Department

▪ Develops, authors and submits life and health insurance policy forms to regulatory agencies.

▪ Coordinates product activities from initial development through end-product production.

▪ Researches and implements electronic form filings practices and procedures.

▪ Supervises outside consultant forms filing projects.

▪ Acts as electronic forms filing (SERFF) Business Unit and Filing Manager for division.

Feb., 2001 - Aug., 2002 Transamerica Worksite Marketing/AEGON, Little Rock, AR

Assistant Manager, Compliance Department

▪ Assisted in management of compliance department.

▪ Researched, developed and implemented electronic commerce practices and procedures.

▪ Investigated and prepared responses to regulatory agencies concerning policyholder complaints.

▪ Authored and presented division-wide training modules on privacy and fraud issues.

▪ Coordinated Compliance-related responses to state market conduct examinations.

▪ Developed and implemented Division responses to federal and state privacy issues.

▪ Approved advertising and solicitation materials.

▪ Reviewed and recommended actions for Department human resources activities.

March, 2000 - February, 2001 American Investors Life Insurance Company Little Rock, AR

Manager, Administration & Provider Relations

▪ Managed administrative operations of Company.

▪ Coordinated managed care networks and provider relations activities and functions.

▪ Negotiated, analyzed, and approved outside vendor contracts.

▪ Primary contact for regulatory agency inquiries.

November, 1999-March,2000 American Family Life Assurance Company of Columbus (AFLAC) Little Rock, AR

Insurance Agent

Sold portfolio of life and health insurance products to employer groups.

August, 1997 - November, 1999 Life Investors Insurance Company of America/AEGON Health Service Unit Compliance Office, Little Rock, AR

Senior Compliance Officer

▪ Monitored health insurance compliance activities. Strong knowledge of both federal and state health insurance laws.

▪ Reviewed and responded to federal and state regulatory agency inquiries.

▪ Authored major medical policy forms and coordinated filing projects with all affected internal departments and outside consultants.

▪ Compliance Office relocated to Hurst, TX in October, 1999.

March, 1994 – August, 1997 PFL Life Insurance Company/AEGON - NOL Division Little Rock, AR

Manager, Customer Service Department

▪ Managed post-issue administrative servicing of 350,000 life insurance and annuity policies, with a staff of 13 correspondents and two (2) supervisors, including responses to regulatory agencies.

▪ Analyzed, prepared and managed Department budget in excess of $600,000 annually.

▪ Identified, approved and coordinated information systems modification requests and participated on product development committees.

▪ Developed and implemented administrative procedures that reduced file turnaround time from 10-12 workdays to a consistent two (2) workdays.

February 1978 - March, 1994 Arkansas Insurance Department Little Rock, AR

Director, Consumer Services Division Senior Financial Examiner, Market Conduct Supervisor and Legal Division Investigator

▪ Directed and supervised the investigation of all insurance complaints and inquiries received by the Arkansas Insurance Department.

▪ Represented Insurance Commissioner at statewide speaking engagements.

▪ Conducted and supervised financial and market conduct examinations of insurance companies and related entities.

▪ Coordinated examinations and special investigations with other regulatory and law enforcement agencies.

▪ Presented testimony in administrative hearings and civil litigation.

EDUCATION

1974 - 1977 University of Arkansas at Little Rock Little Rock, AR

▪ B.A., Criminal Justice, 1977. A.A., Law Enforcement, 1976.

▪ Alpha Phi Sigma (National Criminal Justice Honor Society).

OTHER TRAINING

▪ Life Office Management Association (LOMA) Courses FLMI280, FLMI290, FLMI301,FLMI310, FLMI320, FLMI330, FLMI340, AIAA200, AIRC410, AIRC420 and ACS100.

▪ Dale Carnegie Basic and Management Courses.

▪ Professional Designations: Associate, Customer Service (LOMA), Associate, Regulatory Compliance (LOMA), Associate, Insurance Agency Administration (LOMA).

Email: jlites@sbcglobal.net