Compliance Manager

• Nov 2021 - Present

Quality and Compliance Manager

• Sep 2007 - Present

The Quality aspect includes responsibility for the creation of quality programs that are specific to client needs and Federal regulation; whether there is a focus on sales, customer service, or accurate data entry, a joint effort between Quality and Operations crafst definitions, attributes, and evaluation forms that will help us track, coach, and educate our agents as well as maintain a high level of Compliance oversight. Additionally, a team of seven to thirty Quality Assurance representatives (QAs) and one to two managers, falls to my oversight. In leading the the Compliance Department, responsibilities range from the maintenance of our Compliance Program, to the review of current statutes and risk potentials, the monitoring/training of Licensed Agents, script oversight, DOI/Attorney General responses, internal and external audits, and always keeping abreast of regulatory updates. The oversight position requires interaction and cooperation with all other departments in the company including HR, Compliance, Education, Licensing, Operations, and our partners and vendors. We've found that transparency is key as we strive together to best serve our clients.

Manager

• Aug 2005 - Sep 2007

Responsible for sales, training, inventory, recruiting, scheduling, and staying up to date on the available products. Responsible for sales, training, inventory, recruiting, scheduling, and staying up to date on the available products.

Team Member

• Jan 2003 - Jul 2005