Compliance Alliance

Bad Title, Good Therapy.

Once every year we get randomly inspected by our compliance officer from our General Office(the office that oversees agents for a specified area). Today happens to be the day that Emil, our compliance officer, decided to stop by to due his annual inspection.

During our annual inspections we get a list of client accounts/policies for which we are to collect the files for and turn them over to Emil for his review. Typically Emil comes with a list that has one or two files which are difficult to find because they are clients that we don't really do business with anymore and because of that, if we don't find them he is pretty nice and tells me to forget about it since it is such an old file.

Todays list contained two items which I was unable to find, but today, instead of them being old clients, they were clients who had recently opened accounts/policies with us. The first I started looking for and was unable to find in any of the places it should have been. So, I continued searching in places where it might be. I finally end up looking on Employer #1's desk. After an hour of searching, I find it. It is underneath about 1 and 1/2 feet of paper that should have been filed months ago. It has everything I am looking for in it and everything that Emil is looking for as well.

The second of the files was found shortly after by Emil, who in the spirit of being nice to me helped me look. He found behind Employer #1's desk with the wrong policy number on it.

You may be asking yourself, where were the two Employers who should have been there? I would responde by telling you that Employer #1 was out and was out of the office all day doing nothing productive for work. And Employer #2 decided that since the compliance officer was there that he would leave 30 minutes early to pick up his kids and then come back to the office 30 minutes later than normal.

So to the employers:

You are welcome.

Nick and Emil