Senior Compliance Manager

JR United Kingdom; Leeds; On-site; GBP 40,000 - 75,000; Full time

Job summary

Une entreprise de services financiers de premier plan à Londres recherche un Senior Compliance Manager basé à Leeds pour s'assurer que la conformité des conseils en finance immobilière et gestion de patrimoine est respectée. Ce rôle implique une expérience confirmée en conformité et une connaissance des réglementations FCA. Des excellentes opportunités de progression de carrière sont offertes.

Benefits

Excellent Bonus

Flexible Benefits Package

Qualifications

• Expérience en conformité hypothécaire est impérative.
• Connaissance des réglementations sur la prévention de la fraude et anti-blanchiment requise.
• Compétences interpersonnelles et de communication excellentes.

Responsibilities

• Assurer la conformité des contrats hypothécaires réglementés et non réglementés.
• Effectuer des audits de dossiers d'advisers.
• Gérer le processus de traitement des plaintes.

Skills

Fraud Prevention

Anti Money Laundering

Consumer Duty

Interpersonal Skills

Communication Skills

Education

CeMAP or equivalent

RO5

QCF Level 4 qualified

Tools

FCA principles and regulations

Job description

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Senior Compliance Manager, leeds, west yorkshire

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Client:

Pure Resourcing Limited

Location:

leeds, west yorkshire, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

1

Posted:

04.06.2025

Expiry Date:

19.07.2025

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Job Description:

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