Compliance Officer/ Call Monitoring - Stockport, United Kingdom - GW FINANCIAL SOLUTIONS

GW FINANCIAL SOLUTIONS
GW FINANCIAL SOLUTIONS
Verified Company
Stockport, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

JOB DESCRIPTION JOB TITLE:
Call Quality and Compliance Monitoring Assistant


DEPARTMENT:
Compliance and Development


REPORTING TO:
Department Manager


LOCATION:
Hybrid model/Stockport


PURPOSE OF JOB


To assist the Compliance and Monitoring Officer and Department Managers in ensuring compliance, all client-facing employees meet technical and service standards.


To assess the quality of telephone interactions between GW Financial Solutions and its potential and/or active clients, in line with the GW Quality and Compliance Monitoring Framework.


To assess the quality of supporting electronic records and case notes relating to initial telephone recommendations and servicing of existing business, in line with GW Quality and Compliance Monitoring Framework.


To provide constructive feedback to staff and management, and coaching to staff where appropriate, as a result quality assessment outcomes.


To identify and report breaches, risks and trends of GW Financial Solutions UK Ltd.'s regulatory or legislative requirements, using existing company systems and controls.


Deliver service excellence to our clients through compliance with all FCA regulations and TCF obligations and protect our clients, and our reputation.


KEY ROLES AND RESPONSIBILITIES
Completing effective quality monitoring assessments of pre-contract and post-contract service calls.

Completing effective quality monitoring assessments of system records of pre-contract and post-contract servicing activity.

Assisting with the communication and implementation of changes to the quality framework, processes and procedures to operations teams.

Recommending relevant changes and improvements to the Quality Monitoring Framework in the light of experience.


Ensuring that the monitoring framework is implemented as intended to test and demonstrate whether key customer interactions are consistent with the requirements and standards under the regulatory system and deliver fair outcomes.

Planning and managing personal activity to optimise the time available.

Achieving KPI's. Delivering timely and consistently high quality work, which reflects a client oriented culture.


PROPECTS ADDITIONAL INFORMATION


The company is small but growing and all employees are expected to work as a team and support one another.

You may therefore be asked, from time to time, to undertake other duties by your Department Manager or a Director of the Company that is within your range of skills and abilities.

This job description may be varied in consultation with the post holder to reflect evolving needs of the business.


PERSON SPECIFICATION KNOWLEDGE, SKILLS, ATTITUDE
Intermediate knowledge and understanding of current regulators and their expectations

Intermediate user of Microsoft suite including: excel, PowerPoint, outlook and word

Excellent telephone and communication skills Excellent teamwork skills

Ability to build strong working relationships

High degree of accuracy

Demonstrated ability to prioritize issues

Willingness to learn, develop and attend regular industry and role relevant training


DISPOSITION /PERSONALITY
Enthusiastic, Supportive, Team Worker, Reliable, Motivator, Sociable


TYPE OF PERSON (Motivational Profile)

Self-motivated

Ability to use own initiative

Non-judgmental

Ability to perform effectively when there is pressure peaks

Sets high standards and consistently achieves them


HYBRID MODEL

BENEFITS
Wellbeing and birthday days off in addition to holiday entitlement


Job Types:
Full-time, Permanent


Salary:
£23,000.00-£26,520.00 per year


Schedule:

  • Monday to Friday
  • No weekends

COVID-19 considerations:
Respiratory Illness Policy


Experience:


  • Financial Compliance &
Regulatory Occupations: 1 year (required)


Work Location:
In person
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