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 apply judgment when deciding whether 'off script' conversations still meet GW Quality and Compliance requirements.

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.
Applying mature judgment to quality monitoring assessments.
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.
Applying the Quality and Compliance Monitoring Framework consistently.
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

As per the diversity of the role we are also looking for a candidate who has some experience within a training background who could deliver and oversea the training of individuals or groups of employees and could design and deliver training programs to meet business needs.

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

The team currently work 3 x days remotely and 2 x days in the office. In the future, this may change and therefore potential candidates should be flexible in the number of days in/out the office.

Job Types: Full-time, Permanent

Pay: 26,520.00 per year

Benefits:

Additional leave Gym membership Work from home
Schedule:

Monday to Friday No weekends
Experience:

Financial Compliance & Regulatory Occupations: 1 year (required)
Work Location: Hybrid remote in Stockport SK2 6NG