Client background

As a large Australian insurance broker network operating in a tightly regulated industry, our clients focus above all is their commitment to compliance, risk management and maintaining trusted relationships with their clients.

With potential misconduct resulting in breaches to compliance obligations, we were asked by the CFO to work closely with the direct manager of the employee to conduct a full investigation into the matter and undertake disciplinary action as necessary. As this was the direct manager’s first time dealing with a performance management issue, we were asked to provide coaching and guidance to thoroughly prepare the manager, including scripted talking notes to support them through the process.

How we helped

We conducted a thorough and legislatively compliant investigation into the purported breaches, the conduct of the employee, and any mitigating circumstances.

As part of the investigation process, we conducted an interstate onsite interview with the relevant parties to ascertain all relevant evidence in the case. We prepared all communication in the matter, including letters, meeting scripts and messaging and coached the direct manager through the process. Following the investigation and based on all the evidence gathered, we determined that the conduct that resulted in serious compliance breaches was intentional and surmounted to serious and wilful misconduct. As an outcome to the findings of the investigation, the employee was terminated immediately without notice.

We supported the manager in delivery the outcome and ensured that the necessary procedures were followed to exit the employee correctly, including all written documentation and legislative requirements. 

Result

Prompt and thorough performance management process was critical in this situation to ensure that business risk was mitigated and minimised on two fronts:

• The first being the ongoing risk to the business through not addressing the conduct issues, which would result in increased compliance breaches, risk to the business’s licence, reputation, and client relationships.
• The second being the risk of the employee making a claim of unfair dismissal against the company if the process was not investigated properly.

We delivered a thorough investigation and recommended termination on the grounds of misconduct in accordance with legislation and process and ensured that conduct that breached the company’s compliance rules was quickly and promptly addressed, significantly minimising risk for the business.