Customer Compliance Assistant

1 week ago

Bromley, United Kingdom Floss Agency Full time

PLUS ANNUAL BONUS OF £1,680

**Summary of Role**

To provide monitoring support to ensure the business complies with all relevant regulations and to contribute to the management of conduct risk, including culture and quality assurance, to ensure the fair treatment of customers.

**Key Responsibilities & Duties**
- Undertake customer care telephone calls (CCC) and record findings
- 2nd line monitoring of Financial Advisers
- 2nd line monitoring of Head Office staff to ensure fair customer outcomes
- Assist Compliance team with follow up/investigation of areas of concern
- Identify at risk performers
- Identify customer vulnerability
- Liaise with Compliance team to achieve monitoring targets
- Assist Compliance team with various MI for reporting purposes

**Knowledge, Skills and Experience**
- Experience of working in Financial Services
- Knowledge of Life Assurance, Investment and Pension products would be an advantage
- Understanding of Conduct Risk and Treating Customers Fairly (TCF) outcomes
- Excellent communication skills both written and verbal
- Empathy towards ethical business model and TCF culture
- Ability to identify customer vulnerability and to act appropriately
- Motivation and ability to develop

**Qualifications**
- A-level (or equivalent) or relevant professional qualification desirable

**Additional Information**
- Training provided

Hours of work - Monday to Friday 37 hours per week (office based with the possibility of some hybrid working)

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