Compliance & Oversight Supervisor

Compliance & Oversight Supervisor

Compliance & Oversight Manager

Thorpe Park, Leeds 15

• £28k gross per annum increasing to £30k upon successful completion of probation
• 25 days annual leave 
• Holiday purchase/sale scheme
• Birthday day off
• Cash healthcare plan
• Cycle to work
• Employee discounts on our products including mortgage advice, wills and LPAs

37.5 hours 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)

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.

• 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 Company’s Equity Release department to develop and maintain C&O documentation and processes that are in line with the company’s 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.
• 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
• Potential opportunities for development into other areas across the department (such as complaint handling and financial promotion signoffs) will also be available
  

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.

• Be Respectful – Treat customers and colleagues at all levels with dignity and respect.
• Show awareness – Be aware of how your actions and behaviours affect customers, colleagues and the business.
• Go Above & Beyond – Always aim to exceed expectations, giving your very best to every customer and colleague.
  

• Collaborate & Share – Be generous with your time and ideas, working with and for the wider team.
• Focus on Solutions – Show resilience and determination, focusing on the solution not the problem.
• Appreciate others – Recognise the contribution made by every colleague to the success of our business.
  

• Embrace Change – Treat change as an opportunity to improve, welcoming new ideas and ways of working.
• Commit to Development – Take responsibility for your personal development and that of the business.
• Be Proud & Lead By Example – Take pride in yourself and your work, acting as a positive role model for others.
  

• Be Accountable – Take responsibility for your actions and learn from any mistakes.
• Keep Your Promises – Do what you say you’ll do, when you say you’ll do it.
• Be Courageous & Honest – Speak up for what you believe in and welcome the opportunity to give and receive constructive feedback.
  
  

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.

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.

Desirable

• Experience of working within Equity Release
• Financial services supervisory experience
  
  

General education

• Good numerical and literacy skills

Financial services qualifications

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

• 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.