Senior Compliance Manager

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

Job summary

A leading financial services provider in London is seeking a Senior Compliance Manager for its compliance team, specializing in both regulated and non-regulated finance areas. This role offers a competitive salary and excellent career progression opportunities, focusing on compliance assurance and regulation adherence across mortgages and wealth management.

Benefits

Excellent Bonus

Flexible Benefits Package

Qualifications

• Experience in mortgage compliance role required.
• Understanding of FCA principles and Consumer Duty essential.
• In-depth knowledge of fraud prevention, AML, CDD regulations.

Responsibilities

• Ensure compliance of mortgage contracts and audits.
• Conduct file reviews and provide recommendation feedback.
• Handle complaints and conduct suspicious activity investigations.

Skills

Anti Money Laundering

Fraud Prevention

Consumer Duty

Interpersonal skills

Communication skills

Education

CeMAP or equivalent

RO5 certification

QCF Level 4 qualified

General Insurance CII certificate

Job description

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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