Compliance Supervisor

HL Partnership; East Midlands; Hybrid; GBP 29,000 - 35,000; Full time

Job summary

A leading mortgage network in the UK is seeking a Compliance Supervisor to conduct risk-based audits and ensure compliance among network members. The ideal candidate will have a strong background in compliance monitoring, excellent communication skills, and be organized. Benefits include a company pension and health & wellbeing program. Position available in a hybrid work model.

Benefits

Company pension

Health & wellbeing programme

Sick pay

Options to buy/sell holiday

Qualifications

• Strong background in compliance monitoring, risk management, and oversight activities.
• Outstanding listening and communication skills.
• Highly organized with multitasking ability.
• Strong relationship development skills.
• Team player with ability to work under own initiative.

Responsibilities

• Complete annual risk-based audits and act as primary contact for Appointed Representatives.
• Monitor network firms and advisers to identify emerging risks.
• Conduct desk-based audits and ensure compliance.
• Build strong relationships with key stakeholders.
• Guide Internal Compliance Review Officers on technical queries.

Skills

Compliance monitoring

Risk management

Communication skills

Organizational skills

Relationship development

Teamwork

Education

CeMap qualification

Job description

Compliance Supervisor

Up to 35k

Hybrid/remote depending on location

HL Partnership is the largest privately-owned mortgage network in the UK. Our goal is to continue to be the best home for mortgage advisers, protection specialists, equity release experts and general insurance professionals, whatever their size or location. Due to continued growth, we are looking to expand our compliance team at our head office in Leicester with a new Compliance Review Officer.

The Role

To complete annual risk-based audits and to be a primary point of contact for Appointed Representatives. Proactively monitor network firms and advisers to identify any emerging risks and if necessary, refer for oversight guidance.

Key Tasks:

• Conduct desk-based audits/support meetings which includes risk-based compliance monitoring to ensure that network members comply with the requirements of the FCA and network rules in respect of regulated mortgage and non-investment insurance business
• Act as supervisor within the Training & Competence scheme.
• Build strong relationships with key stakeholders, championing good customer outcomes.
• Ensure appropriate standards and procedures are followed by authorised AR s
• To assist and guide the Internal Compliance Review Officers regarding technical queries and challenges arising in the file review process
• Attend regulatory and other training events as agreed
• Conduct such other project work as may be required

The ideal candidate should have the following experience/skills:

• A strong background in compliance monitoring, risk management and oversight activities
• Outstanding listening and communication skills.
• Highly organised and ability to multitask.
• Strong relationship development skills.
• Good team player with ability to work under own initiative.
• CeMap qualification is essential

Benefits:

• Company pension
• Health & wellbeing programme
• Sick pay
• Options to buy/sell holiday

HL Partnership is a non-sponsoring organisation, you will need to have the right to work in the UK.