Quality Control Officer - Cardiff, United Kingdom - D&R Partners Recruitment Limited

D&R Partners Recruitment Limited

Verified Company

Cardiff, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Quality Control Officer / Compliance Officer

£20,000 - £25,000

Business Hours - No weekends

My client is an award winning Specialist Mortgage Broker based in Cardiff, they are on the search for a Quality Assurance Officer dealing with Compliance within the business,

My Client will also pay for your CeMAP Qualifcation if this has not allready been obtained, this is so you can give Mortgage Advice.

Job Purpose for the Quality Control Officer / Compliance Officer:
The Primary role of the Quality Control Officer / Compliance officer is to ensure that the firms advisors are adhering to company policies and procedures,

Main Duties and Responsibilities for the Quality Control Officer / Compliance Officer:

To review and monitor sales calls to ensure high standards of compliance with company regulatory standards, (Delegating as and when required)
To identify and provide training as and when identified to advisors

Other Duties for the Quality Control Officer / Compliance Officer:

To champion compliance standards and to act as first line defence to accordance with our compliance monitoring programme
To pay high regard to Financial Conduct Authority (FCA) regulations including treating people fairly.
To review and monitor customer communications to ensure that these are consistent with the company's core values and regulatory obligations.
To prepare quality monitoring reports, agree actions and ensure implementation with agreed timescales.
To report issues to the Director of Quality Control / Compliance, this includes recommendations for quality improvements.
To provide feedback to advisors and team members
To conduct compliance investigations If required.

Qualifications for the Quality Control Officer / Compliance Officer: