Compliance Officer/ Call Monitoring

2 weeks ago

Stockport, United Kingdom GW FINANCIAL SOLUTIONS Full time

**JOB TITLE**:Compliance Officer/ Call Monitoring

**DEPARTMENT**:Compliance and Development

**REPORTING TO**:Department Manager

**PURPOSE OF JOB**

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

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.
- Promoting the desired pragmatic and principled approach to quality monitoring.
- 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**

At least 2 years’ experience of working within the Debt Solutions / Advice industry

Intermediate knowledge and understanding of current regulators and their expectations

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

At least 2 years’ experience of coaching and learning and development practice

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

**INTELLECTUAL DEMANDS**

Must have minimum ‘O’ level/GCSE Math’s and English

Must be able to deal with technical product information

Ability to identify development areas, trends and interpret data to adapt procedures to new and more effective ways of working

Must have keen interest and knowledge in the provision of debt advice

**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

**CIRCUMSTANCES**

Willing and able to attend company meetings and/or coaching sessions which may take place outside of core working hours (approx. one per month)

**LOCATION**

Stockport office based role

**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

**Benefits**:

- Work from home

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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