Compliance Monitoring/QC Analyst

Compliance Monitoring/QC Analyst - Role Outline

My client has over 25 years’ experience in the UK mortgage market & they are now looking for a self-motivated individual with good analytical and communication skills to join our Compliance team.

The Compliance Monitoring/QC Analyst would support the Internal Review Manager in the monthly checking programme. This will involve carrying out well established routine monitoring tasks, including effective monthly end to end journey reviews, telephone call monitoring and internal review of document record on completed cases. The role-holder will be key to helping provide assurance and visibility to the Management team on our performance as a business in accordance with our polices, lending criteria and the regulatory environment.

Full training will be given on every aspect, but a background in financial services and in at least one area of QC compliance monitoring and feedback is essential to be considered for this role.

Depending on experience there will opportunities to take on additional specialist tasks from time to time.

Responsibilities

* Carrying out the four main elements of regular monthly monitoring of case activity, following the Compliance framework process;

* End to End Journey – sample check of case management

* Internal Review of all completed cases

* Call Monitoring Review – sample check of individual’s call records

* Webchat records monitoring

* Documenting and reporting monitoring outcomes;

* Assigning remedial actions to team leaders;

* Ensuring all work completed in accordance with company policies, Lending Criteria and procedures;

* Prioritising allocated workload against agreed service deadlines;

* Managing a meeting diary schedule

Key Skills

* Experience in financial services, if possible, in the mortgage industry but not essential;

* Compliance monitoring / QC experience is essential;

* Understanding FCA regulation (though we are not FCA regulated as a business);

* Good attention to detail and accuracy;

* Ability to consistently work through a volume of similar checks month on month;

* Excellent IT skills (proficient in Microsoft Word, Excel, PDF)

* Good interpersonal and organisational skills;

* Excellent written and verbal communication skills and a positive approach;

* Ability to handle sensitive and confidential performance issues and information with discretion;

* Team player, supportive of others, proactive;

* Self-educating, curious and pragmatic, solution-oriented mind-set