Elaine Strathern is a Compliance Assurance Advisor with over 18 years of experience in the insurance industry. She has a proven track record of developing and executing compliance monitoring plans, performing reviews to assess controls, and drafting recommendations to remediate issues. Elaine is skilled in report writing, data analysis, and stakeholder management. She is passionate about ensuring great customer outcomes while supporting business goals.

1. Elaine Strathern
23 Barnhill Drive
High Earnock
Hamilton
ML3 9EZ
Mobile: 07415 360210
Home: 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

2.  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-Present
Ageas UK Quality Advisor 2007 - 2013
Ageas UK Customer Service Advisor 2003 - 2007
Norwich Union Sales Consultant 1997 - 2002
REFERENCES
Available on request