HomeServe USA

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Compliance Monitoring Director

Compliance Monitoring Director

Job ID 
2017-2521
Job Locations 
US-CT-Norwalk
US-PA-Canonsburg
Category 
Legal/Compliance

More information about this job

Overview

Company Information

 

HomeServe USA, ranked as a 2016 Top Work Place, provides emergency repair plans which are like roadside assistance for your home.  Our vision is to become the top-of-mind solution for consumers when something goes wrong in their home.  Our incredible growth is fueled by a dynamic team who values collaboration, innovation and delivering exceptional customer service, all while working in a fun and friendly environment. HomeServe USA is part of a global organization that serves millions of customers in the US, UK, France, Italy and Spain.  Come see why you should work for HomeServe USA!

 

 

Position Overview

 

As part of a dynamic team of professionals, the Compliance Monitoring Director will be responsible for acting independently of other departments and will be responsible to build and execute a coordinated Compliance Monitoring Program for the business.  The Compliance Monitoring Director will implement, manage and conduct the review process then make any necessary recommendations to change policies, implement new systems or controls based on results and support the business in documenting key business processes to mitigate risk.  They will also help conduct and build an enterprise risk assessment program and oversee the governance environment of key executive committees to ensure coordination and optimal inter-reporting.  The Compliance and Monitoring Director will establish key business relationships across the business and with the parent company in the UK to ensure the application of best practices.  The Compliance and Monitoring Director will test the functioning of the Company’s Quality Assurance Program to ensure it is fit for purpose and designed to mitigate risk in all channels.  The Compliance and Monitoring Director will be a member of the Company’s Legal and Compliance Team and will report directly to the Company’s Chief Compliance Officer with oversight from the Compliance Committee of the Board of Directors.

 

Responsibilities

  • Build and implement an independent Compliance Monitoring Program for the US and Canada business.
  • Lead reviews according to an annual plan, ensuring effective planning, execution reporting and clearance of work. This will involve gathering information by meeting people at all levels across the business, a good understanding of the business and reporting findings, discussing and agreeing to recommendations with management.
  • Ensure all reviews conform comply with internal (audit methodology and risk management) and external (regulatory) requirements.
  • Ensure that a best practices approach is taken for all work and promote a proactive rather than reactive approach to risk management helping to embed an enhanced compliance and ethical culture at all levels of the business.
  • As a key aspect of the Compliance Monitoring Plan, the Compliance and Monitoring Director will be expected to listen to sales agent calls, and make any recommendations with respect to inconsistencies as the case may be. Calls may include re-reviewing calls conducted by the Quality Assurance team to ensure they align with internal processes, and also calls to ensure script compliance related to new product launches, and any unique state requirements. Additionally, candidate will be expected to utilize technologies to review results on a more macro level to improve trend analysis. 
  • Produce sophisticated reports and present to the Compliance Committee of the Board and other senior members of management highlighting issues and providing potential solutions to issues identified.
  • Coordinate with members in local Finance, UK Group Assurance and Best Practices Team and Risk Managers in other group countries to ensure coordination of all reviews and audits within US business.
  • Establish and maintain effective working relationships with senior leaders in the business and with the parent company in the UK.
  • In collaboration with Finance, build and implement a coordinated and rolling Risk Assessment Program providing constructive challenge to department’s risk matrices, and work with the business to document key business processes. 
  • Assist in the identification of key risk areas within the business and contribute to the forward Annual Compliance Monitoring Plan as approved by the Compliance Committee of the Board.  
  • Provide ad-hoc advice to management on control issues, and other special projects as needed.
  • Lead or participate in ad hoc audits, projects and investigations as appropriate to individual skills and experience.
  • Share expertise within the team and encourage best practice behaviors across the organization

Qualifications/Skills

  • Bachelor’s Degree required.
  • Audit or Risk Management experience required.
  • Some travel expected, approximately 25%
  • 5-7 years of experience in legal, compliance or finance department or an audit or risk environment conducting independent review
  • Experience leading an audit team a plus
  • Demonstrated skills in audit or risk methodology and documentation
  • Experience working within a customer focused business with an customer support contact center a plus
  • Strong organizational, analytical and research skills
  • Ability to understand, analyze and interpret highly complex information
  • Ability to work effectively under deadlines both independently and within a collaborative team-oriented environment using sound business judgment
  • Proficient in Microsoft Office, PowerPoint and Excel with demonstrated ability to prepare reports utilizing sophisticated charts for managing key metrics tracking.
  • Excellent written and verbal communication skills
  • Ability to multitask and prioritize

 

In return we offer

  • Competitive compensation
  • Career development and advancement opportunities
  • Business-casual attire throughout the week
  • Friendly, open and team oriented work atmosphere
  • Excellent benefits including generous medical, vision, dental and life & disability insurance
  • 401(k) plan with a company match

 

HomeServe USA is an affirmative action / equal opportunity employer.