A Compliance Department committed to your success:

  • Providing a channel of communication to receive and direct compliance news from CMS and insurance carriers to our agents and employees.
  • Being available to answer compliance questions.
  • Reviewing marketing materials for approval.
  • Guiding agents and providing materials to ensure agents are compliant in reporting and hosting marketing events.
  • Reviewing agent websites for compliance issues.
  • Providing training materials.
  • Notifying agents of violation allegations, making sure that the agent responds in a timely manner, and providing support during the process.
  • Helping agents/agencies with employee sales oversight.

Duties and Responsibilities

  • Develops initiates, maintains, and revises policies and procedures for the general operation of our Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
  • Develops and periodically reviews and updates the Code of Ethics to ensure its relevance in the changing insurance environment.
  • Aids carriers in notifying agents of alleged violations of rules, regulations, policies, procedures, and Standards of Conduct. Oversees the process for uniform handling and record keeping of such violations.
  • Reviews compliance activities with carriers to identify trends and keep Copeland in alignment with the requirements of our various carriers.
  • Works with carriers to identify potential areas of compliance vulnerability and risk; assists carriers in implementing action plans to address problematic issues; and periodically adds additional agent training when needed.
  • Provides audit reports and monthly work plans on a regular basis, as directed by the carriers.
  • Provides direction and management for reporting Fraud, Waste, and Abuse.
  • Institutes and maintains an effective compliance communication program for the organization, including promoting (a) reporting of FW&A to Copeland Compliance Office and/or the carrier’s hot line; (b) heightened awareness of Standards of Conduct, and (c) an understanding of new and existing compliance issues and related policies and procedures.

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"Copeland Insurance Group supports their agents and agencies. We have a dedicated team assigned to our agency that goes above and beyond to provide outstanding service to all our agents. At anytime, I can call Mr. Copeland and he will either answer or call me back. It is great to have that personal service and know that if we need any marketing help or are having issues with carriers that someone at Copeland will be there to help!"
Beth C. - United Senior Services of Texas