Job Description
Title: Case Checker
Dept: Compliance
Reporting to: Case Checking Supervisor
Hours of work: 37 hours per week
Location: Head Office/hybrid working
Overall Responsibility:
To provide a quality review service ensuring that “best advice” and “best practice” are adopted across the network, minimising customer and network risk.
Working as part of a team the role entails checking cases that our advisers submit, in order to ensure that ‘best advice’ is being given to their clients and that the FCAs Consumer Duty principles are being applied. The checking of cases will ensure a compliant sales process is being demonstrated and recorded within our internal system. This will contribute to ensuring that a positive customer culture is embedded across the organisation.
Your primary responsibility will be to verify the standards of advice given and to clearly report the findings to all relevant parties; detailing remedial action where appropriate and duly monitoring the progress of any such actions. You will have the opportunity to assist with training needs; act as a point of reference for the business and produce management information for senior management.
You will build positive relationships with advisers through regular contact and feedback. In order to support a positive customer focused culture you will also be encouraged to maintain your personal development and continue to progress with industry qualifications.
Key Responsibilities to include:
• Check cases to ensure the best outcomes for customers and that documentation meets FCA and Mortgage Intelligence requirements, ensuring a positive customer culture
• Assessment of Mortgage, Protection & General Insurance cases against regulatory and in-house standards set out by the Compliance team.
• Provide feedback to advisers regarding cases checked, ensuring that positive relationships are both built and maintained.
• Provide feedback to field staff to assist as part of their overall monitoring of advisers
• Reporting results of assessments and monitoring responses.
• Analysis of results to identify trends, areas of development and potential risks
• Play a key role in contributing to the networks Consumer Duty obligations, considering these obligations in all actions and decisions that are taken
• Carry out ad hoc tasks as may be delegated to you by your line manager as required by the business
Qualifications
Essential
Good standard of general education
Desirable
CeMap, or equivalent qualification (if not currently held training will be provided with a requirement that the full CeMap qualification must be completed within 12 months of completing probation)
Experience/knowledge
Experience in the regulated mortgage and/or protection environment
Skills
Strong IT skills
Excellent written & verbal communication skills
High level of accuracy & attention to detail
Ability to work as part of a team
Ability to analyse data to identify trends
Good administrative and organisational skills
Good telephone manner
Ability to work under pressure
Good time management skills
Personal Attributes
Professional approach and appearance
Commitment to personal development
Customer focused outlook
