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Compliance and Monitoring Manager

Company: HomeServe USA
Location: Norwalk
Posted on: June 12, 2021

Job Description:

Company information:

Home Serve is a leader in supplying homeowners with worry-free warranty services that provide peace of mind. Our incredible growth rate is fueled by a dynamic team of individuals who value teamwork, collaboration and providing exceptional customer service while maintaining a work atmosphere that's fun and friendly.

Home Serve is part of a global organization that serves millions of customers in the US, UK, France and Spain. We're strong, stable and growing.

Position Overview:

HomeServe is looking for an auditing manager to join its growing Compliance Team. The Compliance & Monitoring Manager will be responsible to conduct regular audits of business processes and controls to provide assurance that HomeServe's activities are within guidelines, regulations and operating in line with ethical expectations. Responsibilities will include reviewing company policies, monitoring business operations and reviewing key reporting and performance metrics for trends that may indicate possible risks.

The Compliance & Monitoring Manager will report to the Director of Compliance & Monitoring and will serve as a critical member of the Company's growing Legal and Compliance Team. The Compliance & Monitoring Manager will operate with significant autonomy and be expected to develop, lead and implement monitoring plans, and monitor key performance metrics that provide assurance and adequacy on:

  • The customer experience and delivery of fair customer outcomes
  • Adherence to HomeServe's Customer Promise
  • Compliance with legal and regulatory requirements

The Compliance and Monitoring Manager will also support other members of the Legal and Compliance Team with respect to general corporate and compliance matters including monitor the compliance of acquired companies.

The position will work closely with our Management Team to provide a 'Second Line of Defense' for key risks, processes and controls. The position will help to develop on-going reporting produced and distributed by the Compliance Monitoring function for Senior Management, the Compliance Committee and Board of Directors. Additionally, the position will track, report and follow-up on previously agreed management actions, ensuring full evidence-based completion.

Detailed Responsibilities Include:

  • Develop and execute Risk Assessments at a macro level (company-wide) and micro level (department or process specific)
  • Plan and execute the annual Compliance Risk Assessment, inclusive of all relevant Compliance Risks
  • Execute reviews in accordance with the Compliance Monitoring Plan which is aimed at monitoring risks related to the customer experience, fair customer outcomes, adherence to the Customer Promise and compliance with regulatory requirements
  • Develop and monitor Key Risk Performance Indicators to help report to senior management, the Compliance Committee, the Board of Directors and other key stakeholders
  • Follow and apply the compliance monitoring methodology and best practice policies in place to conduct monitoring reviews
  • Compile and write compliance reports
  • Liaise with Department Heads to ensure that all business operations are operating in line with key policies; these include, but are not limited to: Legal, Group Assurance, Quality Assurance, Repair Management, Contractor Management, Training, Fulfilment, Billing, Product, Marketing
  • Analyze internal business processes and controls to ensure compliance with industry regulations and ethical standards
  • Develop risk mitigation strategies and suggest controls to address internal weaknesses
  • Evaluate testing procedures to meet the objectives of monitoring reviews
  • Track and Report on observations and key findings from monitoring reviews
  • Ensures that project and reporting milestones / goals are met and adhered to on a timely basis
  • Prepare Board and Compliance Committee reports and memorandums (minimum of quarterly)
  • Present and communicate to all levels of management
  • Support other activities in the broader Compliance Department including but not limited to training and education, planning, reporting, or any other tasks as required and assigned
  • Utilize tools such as speech analytics (Call Miner) to identify monitoring scenarios and to suggest ways that Call Miner may be used to assist with Compliance Monitoring (reporting and/or sampling)
  • Develop a basic understanding of HomeServe applications used to manage the customer. These include but are not limited to: Ensura, Single Agent Screen, Calabrio Call Recording System, Call Miner, Streamline, ServiceBench
  • Identify opportunities for continuous improvement

Job Requirements:

  • Minimum of 5 - 7 years of experience in a professional setting as an auditor at an accounting firm, or experience working in a monitoring and/or risk department at a corporation
  • S or B.A. required in a related field
  • Additional certifications in the field of compliance are a bonus
  • Auditing experience required
  • Six Sigma or similar process-like training preferred
  • Experience working in a customer focused environment
  • Proficiency in word, spreadsheet and presentation software
  • Leader with strong verbal/written communication skills
  • Ability to develop presentation materials for different audiences, including senior management
  • High attention to detail coupled with excellent and proven analytical skills
  • Proven time management skills in a deadline driven environment
  • Strong planning & organizational skills; project management experience a plus
  • Ability to multi-task
  • Collaborative, team player with demonstrated ability to develop and maintain positive relationships, excellent interpersonal skills
  • Support the development and growth of other team members, whether indirectly or directly
  • Committed to meeting deadlines
  • Ability to solve problems when they arise
  • Ability to work independently; self-starter with drive and initiative who takes decisive action while maintaining flexibility
  • Conducts him/herself and all work in an ethical, honest, professional and confidential manner
  • Some travel involved post COVID-19 (less than 25%)
  • Mastery of Microsoft Office Suite (Excel, Word, Power Point)
  • Ability and willingness to take on additional responsibilities

HomeServe USA is an equal opportunity employer

Keywords: HomeServe USA, New England , Compliance and Monitoring Manager, Other , Norwalk, Northeast

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