Quality & Compliance Supervisor

Benefits of being a Quality & Compliance Supervisor:

• Basic Salary of £40,000 per year
• Additional 10% bonus is achievable
• £400 Monthly Car Allowance
• Career progression opportunities
• Home based role (working in a face-to-face setting as and when required)

What is the purpose of the role?

To be responsible for the implementation and delivery of the Openwork Training and Competence Scheme by providing proactive leadership and direction to a highly talented team of Sales Managers and Mortgage & Protection advisers within Just Mortgages. Reporting to Senior Quality & Compliance Supervisor.

The main responsibilities include:

• Maintain an in-depth knowledge of financial services regulation & core products, particularly those which the firm is licenced to sell.
• Responsible for completion of annual competency assessments, to ensure Openwork and Just Mortgages standards are being met.
• Monitor and evaluate key performance indicators, including sales quality and customer satisfaction, identifying trends and developing initiatives to improve these where necessary.
• Provide appropriate support to new brokers, including observations, file checking and feedback and development.
• Close collaboration with the sales management line is vital.
• Ensure development plans are in place and reviewed to completion when necessary.
• Ensure that sales quality results for your span of control meet Just Mortgages standards.
• Responsible for timely sign off into fully competent status for all brokers under your span of control.
• Ensure that all appropriate systems and controls as required by our chosen network are implemented and followed to effectively manage key risks and maintain required standards.
• Perform the role of supervisor as defined by the Network’s training and competence scheme.
• Communicate regularly with the Head of Sales Quality to ensure that all necessary messages and standards are up to date and communicated correctly and adhered to by all relevant personnel.
• Maintain open dialogue with the Supervisor of Supervisors.
• Attend team meetings as required to provide updates and training on compliance issues.
• Support the delivery of training programs which include but not limited to: Fraud awareness, Importance of the Right Protection Recommendations & Understanding KPI’s for new advisors attending induction and academy courses.
• Collaborate and liaise with the Learning & Development Team to ensure advisor and manager knowledge is up to date.
• Provide ad-hoc reports and management information to relevant senior stakeholders when requested.
• Be responsible for production of a monthly Quality Report to highlight any areas of regulatory risk within the supervisor span.
• Work collaboratively with a ‘one-team’ mentality, providing deputised support if needed due to supervisor absence or gaps in the supervision structure.
• Aspire to create a culture of positive compliance support by being a proactive point of contact for compliance related queries.
• Be responsible for the delivery of a prescribed internal audit programme within Openwork/Just Mortgages to ensure regulatory compliance and excellent customer outcomes.
• Conduct ad-hoc thematic reviews for specific areas when risk trends are identified.
• Ensure best practices and successes are shared within the firm.

Essential skills and competencies:

• Full CeMap qualification, or equivalent.
• Previous experience of fraud investigation desirable.
• CeRER qualification, or willingness to learn.
• Excellent organisational skills and attention to detail.
• IT literate – Excel, Word, and bespoke FS systems.

The Finer Details:

We are currently conducting some interviews using video software. To be eligible to proceed in our recruitment process, you will need:

• Full UK Driving Licence.
• Legal entitlement to live and work in the UK (in accordance with the Immigration Asylum and Nationality Act 2006).
• We will need evidence of your right to work in the UK, in the form of: Passport/Birth Certificate.
• We will also need Proof of Address.
• National Insurance.
• Drivers Licence Check.

Equal Opportunities:

At Spicerhaart, variety makes our Company DNA come to life. We love people, and what is more, we love the differences that make each person who they are. We support you and encourage those differences, to make you the best person you can be. Spicerhaart are proud to be an equal opportunity workplace and we welcome all talented individuals to apply for a career with us. We are committed to equal employment opportunity regardless of race, colour, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity. If you have a disability or special need that requires accommodation, please let our Talent Team know and we will be happy to assist to the best of our ability – regardless of how small or large your requirement may be.

To All Recruitment Agencies:

Spicerhaart does not accept speculative agency CVs. Please do not forward CVs to the Talent Team, Spicerhaart employees or any other company location. Spicerhaart is not responsible for any fees related to unsolicited CVs received from external recruitment sources through our Preferred Suppliers List or otherwise.

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