Since joining Connect, I have been thinking about how we can improve on what we do currently within the Compliance department to further support our Network of AR’s.
I have been looking at the Broker journey from training to achieving Competent Adviser Status (CAS) and have decided that we can do things a little differently and achieve better results.
We have created a new role within the department, a T&C Supervisor, who will be responsible for managing the Broker journey and providing support and coaching for advisers who have not yet achieved CAS status.
Part of this new role, will be to have regular 1-1s with non-CAS advisers where we will review the following areas:
- File Checks
- Complaints
- Annual Observations
- Business MI
- Compliance Policies
- Dipping into cases and reviewing case quality
This role is also being created to provide a point of contact for queries, for example,
- If you would like to discuss your remedial action from a recent file review.
- Discuss any challenging cases you would like support on
- Confirm any of Connect’s Compliance policies to ensure you are packaging a case correctly
The goal of this new role is to increase the number of CAS advisers within the Network and to improve the case quality which will therefore, increase the amount of cases that Pass first time.
This role will commence from the 1st of March, with Ashiq Khan taking the role of the T&C Supervisor. 1-1’s will begin to be booked in the coming days.
If you have any questions about this new role, please don’t hesitate to let me know.
Kind Regards
Alan Baldwin
Director of Compliance
For any questions or queries, contact the Compliance Team
Call : 01708 676110
Email : compliance@connectmortgages.co.uk