As a Compliance Assistant you will ensure Cheque Exchange and its retailers are complying with relevant legislation to safeguard the agency network by reviewing new customer on-boarding files, conducting due diligence on existing agent files and by identifying suspicious activity through regular trend analysis and spot checks. You would also act as a liaison for all staff and agent compliance issues.
Key Responsibilities include:
- Ownership of the initial application process within the agreed service levels, providing excellent customer service.
- Assess and verify information provided by applicants.
- Make outbound calls to ensure an efficient service is being given.
- Maintain contact with agents during the on-boarding process.
- Maintain up-to-date records for our agents.
- Identify any issues or further actions required and take appropriate action.
- Make clear and concise entries in MIS and any other appropriate database.
- Trend analysis / spot checks.
- Suspicious activity reporting.
- Lodge audit reviews.
- External audit planning.
- Have a clear understanding of the business objectives and how their role contributes to them.