A leading UK law firm with a network of offices from the South Coast to Scotland, working together as one national team. An innovative practice and the first top 100 law firm to achieve "Gold Standard" Investors in People, our values and culture are not just words on our website but are the heartbeat of the firm. The lack of barriers between departments, a real lack of hierarchy, zero tolerance for arrogance and pomposity makes Shoosmiths a fantastic place to work.
The Quality Assurance Review Team (QART) is responsible for the routine monitoring of all FCA regulated customer facing teams ensuring that Practice Groups adhere to (and can evidence that we are adhering to) the set regulatory requirements. The QART is also responsible for providing the Executive with up to date and timely information on key risks and issues across the Practice Groups, and for delivering internal (non-legal) training and the maintenance of all training records.
The hours are Monday - Friday working 8.30am-5pm or 9am-5.30pm.
- To undertake and document file and call audits in accordance with the agreed RSG Call and File Monitoring standards and respective unit Training & Competence (T&C) scheme, in a timely manner, to provide evidence allowing the unit to monitor its compliance with regulatory, legal and client standards;
- To liaise with Team Leaders to provide monthly reports of call and file audits per case handler and other staff to be used for feedback in 1-2-1s and to ensure that any areas where non-compliance is identified are flagged up to allow the Team Leader to resolve the identified issues swiftly;
- To liaise with Team Leaders/Trainer where material non-compliance is identified such that:
- the case handler and/ or team in question is re-trained;
- the process is reviewed and amended where necessary
- To provide monthly trend analysis on issues identified during call and file monitoring to the respective unit management team;
- To extract call calibration data from MI reports, provide MI to clients, extract required calls from call recording system and submit to client, review submitted calls in readiness for client call calibration sessions;
- To support the unit during client audits and attend such audits where required in relation to call and file monitoring processes;
- To work with other first line of defence assessors and RSG’s second line of defence compliance team to enhance RSG’s call and file monitoring processes;
- To provide appropriate MI to the unit head and other unit managers as required, including monthly MI required to inform the RSG TCF dashboard.
- Supporting senior managers in providing compliant recoveries services
- To be familiar with and follow the Unit's policies, procedures and processes
- Comply with all of the RSG and the firm's policies and all regulatory requirements
- Control and manage your workload effectively and efficiently using the relevant case management systems and IS resources and processes appropriately
- Be responsible and accountable for your workload including meeting internal and client SLA requirements
- Be aware of associated areas of law impacting the Unit's delivery of its service, and keep up to date with any associated legal or regulatory changes
- Recognise any potential issues in cases and refer these appropriately
- Attend and complete any training in a timely manner
- Attend internal and external meetings as required and assist in implementing changes to any Unit procedures.
- Liaise with other internal teams as appropriate
Skills and qualifications
- Good understanding of the agreed RSG Call and File Monitoring standards; respective unit Training & Competence (T&C) schemes and any specific client requirements in relation to call and file monitoring
- IT literate with experience of using Word, Excel and the internet
- Good written, numeracy and oral communication skills
- Accuracy and attention to detail
- Ability to prioritise, be organised and efficient
- Flexibility with the capability to adapt to change, new practices and cope under pressure but with the ability to recognise when to seek assistance
- Able to integrate within a team and able to work on your own initiative
- Friendly and helpful approach
- To work with integrity and impartiality
- Treat your colleagues, clients and their customers and third parties with respect
Due to the nature of the work undertaken, confirmation of employment will be subject to a variety of checks which will be carried out once an offer of employment is accepted. These checks will include employment references covering the last 5 years, proof of ID, proof of address covering the last 5 years, Personnel Vetting credit search (which will only highlight insolvency or County Court Judgments - should any adverse data show on the Personnel Vetting search then any offer of employment made will be withdrawn).Terrorism Check (against data supplied by the Bank of England) and a DBS check previously known as a Criminal Records check.
Shoosmiths is a committed Equal Opportunities employer promoting equality of opportunity. This means that everyone who either applies to or works for the firm is treated equally, whatever their gender, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.