Compliance Officer Job in Cardiff, South Glamorgan

Compliance Officer Job in Cardiff, South Glamorgan. Apply for the latest Cardiff, South Glamorgan jobs in Accounting/Financial/Insurance.

Compliance Officer Job in Cardiff, South Glamorgan

Job Description
Compliance Officer

Cardiff

Up to £25,000 – £30,000 + Early Finish on a Friday

D&R Partners is happy to represent one of the UK's most reputable specialised Finance broker. Our customer has established themselves as the industry leader thanks to their common-sense approach to financing.

Our client enjoys turning challenges into opportunities, helping their clients to achieve their financial goals. Due to natural expansion, they are searching for a Assurance Officer / Compliance Officer to undertake key checks on Intermediaries and assess if they should be on-boarded to our clients panel.

Objectives and Responsibilities for the Compliance Officer Role:

* Complete QA checks to meet regulatory requirements for mortgage experts in line with the business.

* Assessing customer outcomes and adherence to conduct rules

* Maintain an accurate log of all sampling activities in line with the T&C scheme and regulatory requirements, to provide an audit trail of teammate development and regulatory compliance

* Identifying any compliance/regulatory risks and reporting to the managers as and where necessary

* Monthly QA checks to monitor RFT and KYC measures making sure DIPs and submissions are timely and accurate

* Complete comprehensive file checks for all areas of the operation on a monthly basis and ensure all standards have been met

* Feedback results of QA checks real time to teammates in a constructive and positive manner on a one to one basis

* Identify training gaps and requirements collaborate with SM’s who will develop and conduct training plans/ training as appropriate

* Work closely with SM’s and manage own workload to achieve set targets

* Ensure service standards are met across the operation

* Monitor all methods of customer communications – including calls, emails, live chats and SMS to ensure we are compliant and in line with brand values and company vision

* Coach the team to ensure they are on brand, in line with tone of voice and adhering to all company values

* Actively participating in call levelling sessions on a weekly basis

* Ability to demonstrate a commitment to Treating Customers Fairly

* Maintaining audit log of all monitoring activities complete

Experience for the Compliance Officer Role:

* A minimum of 1 years’ experience in QA or Compliance

* You’ll have done this role or similar before, you’ll know the challenges and how to navigate them

* Strong knowledge of FCA advice requirements for mortgages and protection

* Experience of giving feedback and coaching for performance

* Confident and proactive approach to improve customer experience, quality metrics and drive efficiency gains

* You have brilliant communication and listening skills

* You are a self-motivator who can work at a fast pace

Job Type: Permanent, Full Time
Location: Cardiff, South Glamorgan
Category: Accounting/Financial/Insurance
City: Cardiff
County: South Glamorgan
Country: United Kingdom
Salary: £25000 – £30000/annum Early Finish on a Friday
Benefits: Early Finish on a Friday