Compliance and Monitoring Manager in Norwalk, CT

$80K - $100K(Ladders Estimates)

HomeServe USA   •  

Norwalk, CT 06850

Industry: Retail & Consumer Goods


Less than 5 years

Posted 59 days ago

This job is no longer available.


Position Overview:

The Manager of Compliance & Monitoring will report to the Director of Compliance & Monitoring and serve as a critical member of the Company's Legal and Compliance Team. The Manager of Compliance & Monitoring will help 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 position will work closely with our Quality Assurance Team in Chattanooga, TN, to provide a 'Second Line of Defense' for key processes and controls. The position will help to compile 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.

Responsibilities Include:

  • Execution and support of the Compliance Monitoring Plan aimed at monitoring the customer experience, fair customer outcomes, adherence to the Customer Promise and compliance with regulatory requirements
  • Development of Key Performance Indicators to help report to senior management, the Compliance Committee, the Board of Directors and other key stakeholders
  • Adherence of the compliance monitoring methodology and best practice policies in place
  • Liaise, collaborate and partner with internal stakeholders including, but not limited to: Legal, Group Assurance, Quality Assurance, Repair Management, Contractor Management, Training, Fulfilment, Billing, Product, Marketing, to analyze and help the business evaluate ways to improve the business's risk mitigations plans and controls.
  • Track and Report on observations and key findings from monitoring reviews
  • Evaluate testing procedures to meet the objectives of monitoring reviews
  • Assess compliance or operational risks and develop risk mitigation strategies
  • Compile and write compliance reports
  • Prepare Board and Compliance Committee reports and memorandums (minimum of quarterly)
  • Present and communicate to all levels of management (senior, mid, lower)
  • Support other activities related to Compliance Monitoring, including but not limited to training and education, planning, reporting, or any other tasks as required and assigned
  • Assist with the planning and execution of the annual Compliance Risk Assessment
  • Work with Call Miner resources 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 3 – 5 years of relevant experience in monitoring, risk or reporting field
  • Experience in a contact center environment preferred
  • B.S or B.A. required in a related field
  • Accounting or auditing experience preferred
  • Leader with strong verbal/written communication skills
  • High attention to detail coupled with 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; strong interpersonal skills
  • Demonstrated ability to support the development and growth of other team members, whether indirectly or directly
  • Committed to meeting deadlines
  • Adept at problem solving
  • 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 (approximately 25%)
  • Mastery of Microsoft Office Suite (Excel, Word, Power Point)
  • Ability and willingness to take on additional responsibilities.

Valid Through: 2019-9-13