Willis Towers Watson

Compliance Investigator

Posted on Dec 4 201 views North Canton, OH


The position of Compliance Investigator is a fulltime position working with TZ’s sales leadership, Quality Assurance, Case Management and our carrier partners to log allegations of misconduct, investigate the merits of the allegation, and aid in the process of reaching a final resolution for all involved parties.
Essential Duties and Responsibilities
  • Log and maintain allegations of misconduct (whether initiated internally or by third parties), as it relates to sales activities, in the designated compliance database
  • Investigate the merits of each allegation by reviewing related call recordings, scripts, applications, sales processes, etc., prepare a summary of the findings and recommend a determination founded, unfounded, inconclusive or withdrawn to the Director of Compliance.
  • Work with sales management to obtain agent responses to sales allegations, recommend appropriate Corrective Action Plans (CAP) as needed and track the completion of said CAPs
  • Serve as a liaison between third parties and the company and/or agent charged with misconduct to ensure all relevant information is provided to the applicable parties.
  • Follow the progression of allegations from intake through to a final determination, and/or corrective action, documenting the progression throughout the process
  • Provide status reports of allegations monthly to senior management
CompetenciesTo perform the job successfully, an individual should demonstrate the following organizational skills:
  • Analytical Skills - Collects and researches data.
  • Organizational skills – Focus on the task at hand, priorities responsibilities and efficient management of time.
  • Quality - Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applies feedback to improve performance; Monitors own work to ensure quality.
  • Problem Solving Skills - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.
  • Interpersonal Skills - Focuses on solving conflict, not blaming; Maintains confidentiality; Listens to others without interrupting; Keeps emotions under control; Remains open to others' ideas and tries new things.
  • Oral Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings.
  • Written Communication - Writes clearly and informatively; Edits work for spelling and grammar; Varies writing style to meet needs; Presents numerical data effectively; Able to read and interpret written information.
  • Ethics - Treats people with respect; Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values.
  • Judgement - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions.
Education and/or Experience
  • Associate's degree (A. A.) or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience.
  • Knowledge of rules and regulations applicable to sales of insurance products, including but not limited to Medicare Advantage products.
  • Active Health and Life insurance licenses in state of residence, preferred
Computer Skills
  • Must be able to retrieve and monitor calls across all programs and systems
  • Requires a functional understanding of J-Lodge and our scorecard process
  • General ability level of MS Excel, MS Word and MS Outlook, email and internet
Other Skills and Abilities
  • High ethical standard
  • Six months working in Quality Assurance, Compliance or other relevant experience
  • Strong written and verbal communication skills
  • Able to work independently as well as with others