Compliance Officer
My client acts as Network Principal for mortgage and protection brokers within England, Scotland and Wales
The company provides business support and compliance services to member companies.
They are now seeking a compliance officer due to expansion to join their team on a full or part time, permanent basis
The main responsibilities being any combination of the following;
- Field Visits - Ensuring members fully understand and adhere to my clients procedures and requirements. Documenting details of meetings in reports. The role could involve overnight stays typically two or three times per month due to the wide geographical coverage of my clients members
- File checking - electronic & paper based, both office based and during field visits.
- Handling telephone enquiries & covering a share of the general office workload (e.g. general enquiries from members, commission queries, enquiries from prospective new network members).
- Any special projects, investigations etc. as required.
- Specialist Areas: (usually one or two per role)
- Role play testing of new members as part of the induction process.
- Complaint handling
- Financial Promotions
- Telephone assessments of advisor knowledge
- Collation of MI
- New AR/Advisor application processing
Personal Qualities
The successful candidate will be self-motivated and will have mortgage, protection and general insurance knowledge and experience, typically gained within a broker environment.
Previous experience within a compliance role would be preferred, but is not essential.
Strong communication skills, both verbal and written, are essential.
A full driving licence is required
The company provides business support and compliance services to member companies.
They are now seeking a compliance officer due to expansion to join their team on a full or part time, permanent basis
The main responsibilities being any combination of the following;
- Field Visits - Ensuring members fully understand and adhere to my clients procedures and requirements. Documenting details of meetings in reports. The role could involve overnight stays typically two or three times per month due to the wide geographical coverage of my clients members
- File checking - electronic & paper based, both office based and during field visits.
- Handling telephone enquiries & covering a share of the general office workload (e.g. general enquiries from members, commission queries, enquiries from prospective new network members).
- Any special projects, investigations etc. as required.
- Specialist Areas: (usually one or two per role)
- Role play testing of new members as part of the induction process.
- Complaint handling
- Financial Promotions
- Telephone assessments of advisor knowledge
- Collation of MI
- New AR/Advisor application processing
Personal Qualities
The successful candidate will be self-motivated and will have mortgage, protection and general insurance knowledge and experience, typically gained within a broker environment.
Previous experience within a compliance role would be preferred, but is not essential.
Strong communication skills, both verbal and written, are essential.
A full driving licence is required