Senior Compliance Manager

Pure Resourcing Limited; City Of London; On-site; GBP 40,000 - 75,000; Full time

Job summary

A leading financial services provider in the City of London is seeking an experienced Compliance Manager to join their compliance team. This role involves ensuring compliance with both regulated and non-regulated property finance advice. Candidates should possess the relevant qualifications and have significant experience in mortgage compliance, along with excellent interpersonal skills. This position not only offers a competitive salary but also a flexible benefits package and genuine career advancement opportunities.

Qualifications

• Proven experience in a dedicated mortgage compliance role.
• Knowledge of FCA principles and regulations.
• Understanding under The Consumer Duty.

Responsibilities

• Ensuring compliance of regulated and non-regulated mortgage contracts.
• Conducting file reviews and auditing adviser files.
• Handling complaints and conducting suspicious activity investigations.

Skills

Interpersonal skills

Communication

Teamwork

Education

CeMAP or equivalent

RO5

QCF Level 4 qualification

General Insurance CII certificate

Job description

2 days ago Be among the first 25 applicants

Get AI-powered advice on this job and more exclusive features.

Pure Resourcing Limited provided pay range

This range is provided by Pure Resourcing Limited. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Pure Resourcing Limited

Specialist Financial Services Recruiter / Headhunter covering Property Finance - BTL, Bridging Finance, Commercial, Development Finance and Mortgages…

Senior Compliance Manager - Mortgages / Wealth

Are you interested in working for a leading financial services provider based in the City of London?

An excellent opportunity is available for an experienced Compliance Manager to join the compliance team, ensuring that the business assurance / compliance is maintained in areas of regulated and non-regulated property finance advice (mortgages, BTL, Bridging Finance, HNW, Self Build) and Wealth Management (Pensions / Investments).

Candidates must have proven experience in a dedicated mortgage compliance role including areas such as Anti Money Laundering, Fraud Prevention and Consumer Duty.

The is a great opportunity to join a thriving business offering genuine career progression.

Areas of responsibility:

• Compliance of regulated and non-regulated mortgage contracts.
• File reviews - assessing suitability of the recommendation as well as Consumer Duty considerations.
• Provide face-to-face or telephone feedback where appropriate.
• Assisting with general compliance queries.
• Auditing of Adviser files for Regulated Mortgages, Non Regulated Mortgages, Life Insurance, General Insurance and Wealth Management files.
• Production of Compliance Audit Reports regarding the audits conducted.
• Complaints Handling (from investigation through to conclusion).
• Dealing with adhoc KYC/CDD Queries including possible sanction matches
• Suspicious Activity Investigations / NCA reporting (from investigation through to conclusion).

Experience required:

• Must possess the relevant qualifications for the business areas involved in e.g. mortgages (CeMAP or equivalent), protection (RO5), Wealth Management (QCF Level 4 qualified). Desirable - General Insurance CII certificate
• Must have adequate knowledge of FCA principles and regulations.
• Must have an understanding of the requirements under The Consumer Duty.
• Must have in-depth experience in mortgage compliance.
• Must have adequate knowledge of Fraud Prevention, Anti-Money Laundering & Consumer Due Diligence regulations.
• Must have experience of handling complaints process.
• Must have excellent interpersonal and communication skills.
• Must be able to work as part of a team and individually.

£40k - £75k basic (Dependent on experience) + Excellent Bonus + Flexible Benefits Package

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Quality Assurance

Referrals increase your chances of interviewing at Pure Resourcing Limited by 2x

Sign in to set job alerts for “Compliance Manager” roles.

London, England, United Kingdom 1 week ago

London, England, United Kingdom 1 week ago

Conflicts and Compliance Analyst (London or Manchester)

London, England, United Kingdom 6 days ago

London, England, United Kingdom 1 week ago

Greater London, England, United Kingdom 1 week ago

London, England, United Kingdom 1 week ago

London, England, United Kingdom 1 week ago

London, England, United Kingdom 2 weeks ago

Regulatory Compliance Manager ( Payments/ Fintech)

London, England, United Kingdom 2 weeks ago

City Of London, England, United Kingdom £147,000.00-£155,000.00 2 weeks ago

London, England, United Kingdom 1 week ago

London, England, United Kingdom 2 weeks ago

London, England, United Kingdom 2 days ago

Financial Crime Compliance Manager - DMLRO

London, England, United Kingdom 1 month ago

London, England, United Kingdom 1 week ago

London, England, United Kingdom 2 weeks ago

Head of Compliance & Enterprise Risk, EMEA (London)

London, England, United Kingdom 1 week ago

London, England, United Kingdom 2 weeks ago

London, England, United Kingdom 1 month ago

UK Senior Regulatory Compliance Manager - Equals Group

London, England, United Kingdom 1 month ago

London, England, United Kingdom 2 days ago

London, England, United Kingdom 1 month ago

London, England, United Kingdom 3 days ago

Regulatory Compliance Manager, Amazon Payments UK (Compliance)

London, England, United Kingdom 1 week ago

Hounslow, England, United Kingdom 2 weeks ago

Senior Regulatory Compliance Manager and UK MLRO

London, England, United Kingdom 3 weeks ago

UK Regulatory Compliance Manager - Equals Group

London, England, United Kingdom 1 month ago

City Of London, England, United Kingdom 5 days ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.