Compliance & Oversight Supervisor

Job role

Compliance & Oversight Supervisor

Reports to

Compliance & Oversight Manager

Location

Leeds 15

Hours of work

37.5 per week (Hours of work will be flexible and dictated by the needs of the business, therefore it is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).

The role

Overview

To work in partnership with all colleagues to identify training needs and support colleague improvement through providing written and verbal feedback, coaching, development and workshop delivery. To help the Compliance & Oversight (C&O) department create and maintain a framework that facilitates continuous improvement and has the customer at its heart. To monitor adherence to this scheme and report any issues and/or risks to the C&O Manager.

Key Outputs

• Conduct file reviews and call observations to ensure that there is no product bias or material detriment to the customer and standards are consistent in the team by attending levelling sessions. Identify training requirements and/or risks and support improvement, with a view to maintaining consistently positive customer outcomes.
• Work primarily with the Companys Equity Release department to develop and maintain C&O documentation and processes that are in line with the companys T&C Scheme, highlighting areas where internal standards are not being met and working to identify root cause and improve processes where necessary.
• Provide coaching and feedback to individuals as appropriate.
• Compliance and Oversight enquiries addressing queries from colleagues across the business.
• Provide support to Managers where individuals are identified as needing to move into a more intense supervisory regime by agreeing appropriate development plans and working with the individuals to assist in the successful completion of the development plan.

General

• Act as a source of technical support and knowhow
• Helping to ensure a compliant approach and that positive customer outcomes are embedded within all activities as a matter of course.
• Keep up?-?to?-?date with business objectives and priorities
• Any additional ad?-?hoc duties that may be required from time to time. This includes providing support with other areas of the business such as Wealth Management when the business need dictates.

This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary

About us

Not your typical financial services firm…

Established in 2004, Age Partnership has held true to its pledge to improve the markets in which we operate for the benefit of customers. We do this by delivering world?-?class customer experiences, continually innovating and embracing digital technology to make dealing with the company both efficient and engaging.

At Age Partnership we accept nothing other than being the best at what we do, and this objective is reinforced by an environment in which colleagues are encouraged to engage, to learn and to flourish. Significant in?-?house training and development facilities and empowerment of colleagues are just a couple of components that have helped this culture to thrive.

We strive in becoming a household name that is synonymous with excellence. Added to this we want to work, collaborating with all our partners and suppliers to enable our customers benefit from the relationship. It sounds simple but it needs to be worked on to achieve.

Our Values

• Put Customers First, Always
• Lead with Technology and AI
• Stronger Together
• Take Ownership
• Stay Focused
• Think Big, Build Big

The person

Overview

An approachable, organised, resilient individual with a proven ability to embrace and develop a culture of colleague improvement and personal development that underpins a successful working environment where the customer is key.

An excellent communicator and motivator with the ability to interact at all levels. Capable of handling and prioritising high volumes of work.

Demonstrates the C&O strategy through:

• A supportive and collaborative approach
• Ongoing customer focus
• Looking to drive efficiencies

Skills and knowledge

Essential

• Minimum 2 years recent financial services experience in either a mortgage or financial advisory firm.
• Ability to use all Microsoft Office programmes to a competent level.

Qualifications

General Education

• Good numerical and literacy skills

Financial services qualifications

If not already achieved, willing to study towards:

• Certificate in Mortgage Advice and Practice (CeMAP) (or MAQ)
• Certificate in Regulated Equity Release (CeRER) (Home Reversion top?-?up unit OR ER1)
• J07 Supervision in a regulated environment