Compliance Officer

Yellow Brick Mortgages; Norwich; Remote; GBP 40,000 - 60,000; Full time

Job summary

A leading independent mortgage brokerage in the UK is seeking a proactive Compliance Officer to support its adviser network. The role involves overseeing compliance for up to 40 advisers and ensuring adherence to regulatory standards. The ideal candidate is CeMAP qualified, has strong communication and analytical skills, and embodies a values-driven approach. This is a flexible remote position with opportunities for growth in a supportive culture.

Benefits

Flexible remote working

Supportive culture

Clear progression opportunities

Qualifications

• Experience in compliance or T&C within financial services.
• Strong understanding of regulatory frameworks and conduct risk.
• Organised, proactive, and values-driven.

Responsibilities

• Oversee risk KPIs for up to 40 advisers.
• Conduct regular 1:1s and annual competency assessments.
• Ensure advisers complete exams and meet CPD requirements.
• Provide guidance on compliance and advice standards.
• Prepare monthly compliance reports for Openwork.

Skills

Compliance understanding

Communication skills

Analytical skills

Organisational skills

Education

CeMAP qualified

Job description

About Us

Flexible remote position

Yellow Brick Mortgages is a national, award-winning independent brokerage offering whole-of-market mortgage advice.

Founded in Norwich in 2018, we’ve grown to over 80 advisers across the UK, built on an ethos of exceptional service and giving back, proven by over 6,000 Trustpilot and 1,400 Google 5-star reviews, plus over £170k donated to local charities and 17,000 trees planted.

As part of the Yellow Brick Group, we also provide financial planning, wills, and estate planning, as well as equity release and commercial finance.

The Role

We are looking for a proactive Compliance Officer to support our growing adviser network and uphold the highest regulatory standards.

Reporting to the Compliance, Training & Development Manager, you will oversee compliance and Training & Competency (T&C) for up to 40 advisers, focusing on risk management, adviser development, and regulatory compliance (Openwork & FCA).

This is a pivotal role where you will help protect and enhance the quality, culture, and reputation that Yellow Brick Mortgages is known for.

Key Responsibilities

• Oversee risk KPIs for up to 40 advisers
• Conduct regular 1 : 1s and annual competency assessments
• Ensure advisers complete exams and meet CPD requirements
• Provide guidance on compliance and advice standards
• Prepare monthly compliance reports for Openwork

About You

• CeMAP qualified (essential).
• Experience in compliance or T&C within financial services.
• Strong understanding of regulatory frameworks and conduct risk.
• Excellent communication, analytical, and reporting skills.
• Organised, proactive, and values-driven, you do what’s right, not what’s easy.

Why Join Us?

• Work for a top-rated, community-focused brokerage.
• Flexible remote working.
• Supportive culture and clear progression opportunities.
• Be part of a team that genuinely makes a difference