Compliance Officer – Mortgages

Compliance Officer – London

Our client, an award winning financial services provider, specilaising in providing bespoke mortgage advice and associated products.

As Compliance Officer, you will work closely with the Head of Compliance, being responsible to ensure that the business maintains systems and control to prevent the business from breaching FCA regulations

Responsibilities include:

Monthly file checks and reviews targets achieved
Investigate compliance issues raised from compliance reviews
Communicate new regulation
File checks
Identifying file checks for Month
Review and approve AML exceptions and logging them
Compliance on file reviews
Identifying policy and process risk
Communicating changes to the sales teams
Monitor New Business Register (new starters and types of business)
Report any Compliance risk to Senior Managers
Reporting FCA conduct rules/Regulation breaches, logging them
Attend Compliance team meetings
Working with Sales and T&C Manager to improve file grades
Supporting Management on ADHOC compliance projects
Skills required:

Must have at least 12 months compliance experience within the Mortgage and Protection Industry.
Full CeMAP Qualification (Or equivalent)
Must have demonstrable Compliance experience
Must be able to demonstrate a collaborative and values led approach
Personable and engaging personality
Teamwork within a team and the ability to work as an individual
On offer:

£40 – 50k Basic Salary + Bonus + Benefits

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