Elaine Strathern23 Barnhill Drive

High EarnockHamiltonML3 9EZ

Mobile: 07415 360210Home: 01698 330982

Email: elainestrathern@blueyonder.co.uk

Personal Statement

A respected and knowledgeable Compliance Assurance Advisor with over 18 years’ experience in the Insurance Services Industry, with experience coming initially from an operational sales background, customer service, and Quality and Compliance.Has a tenacity and attention to detail and is able to communicate effectively at all levels. Takes a practical approach to problem solving, and has a drive to see projects through to completion. Is passionate about a role that involves ensuring great outcomes are delivered for customers whilst supporting the business to achieve its commercial goals.

Key Skills

Compliance Assurance & Monitoring 2013- present

Development and execution of compliance monitoring plans Development and agreement of Terms of Reference with key stakeholders Agreement of assurance plans with the business taking into account areas of

regulatory focus and potential conduct/business risk Undertake comprehensive deep dives and thematic reviews, assessing the

internal control environment by performing controls and substantive testing Draft recommendations and liaise with the business units to remediate risks,

findings and gaps identified during the validation process Agree and monitor Corrective Actions Plans (‘CAPs’) developed in response to

issues identified through compliance reviews and perform validation testing to verify appropriate CAP completion and issue closure track and follow up actions with senior management

Comfortable to work on an individual basis or as part of a team Practical knowledge and capability with Microsoft Office suite Excellent customer service skills

Quality Monitoring 2007-2013

Support the Quality & Compliance Manager in continuous improvement of call monitoring protocol to ensure all regulatory requirements are met in accordance with regulatory guidelines following the principles of TCF (Treating Customers Fairly)

Provide insight into monitoring output - identifying trends and patterns Manage call auditing requirements within the team Compliance monitoring - call listening and marking to ensure all agents comply to

internal and external regulatory compliance requirements and standards

`

Report writing

Produce articulate, well thought out and informative reports for senior management and key stakeholders

Ability to analyse information to determine and plan actions to respond to issues that are highlighted through the quality assurance or continuous improvement functions

Proficient in MS Word, Excel and Powerpoint Issues and remedial actions agreed with stakeholders are clearly documented

in the final report and that the work papers fully support the conclusions reached in the review

People / Stakeholder Management

Confident and articulate in providing effective challenge to senior management where there are any potential or actual conduct risks or conflicts of interest

Assist senior management in development of controls and systems and influencing the way in which business is conducted in order to manage and monitor these risks

Proactive management of key stakeholder’s time to discuss potential issues prior to discussion with the business, and to allow them appropriate time to review the reports prior to issuance.

Kick off and closing meetings for assurance reviews are planned and executed smoothly with the appropriate engagement of key stakeholders from the business and compliance

CAREER SUMMARY

Ageas UK Compliance Assurance Specialist 2013-PresentAgeas UK Quality Advisor 2007 - 2013 Ageas UK Customer Service Advisor 2003 - 2007Norwich Union Sales Consultant 1997 - 2002

REFERENCES

Available on request