Senior Compliance Manager

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

Job summary

A leading financial services provider in London is seeking a Senior Compliance Manager to ensure compliance in both regulated and non-regulated mortgage finance. This role involves detailed audits and managing compliance queries, with opportunities for career progression in a thriving business.

Benefits

Excellent Bonus

Flexible Benefits Package

Qualifications

• Proven experience in a dedicated mortgage compliance role.
• In-depth knowledge of FCA principles and regulations.
• Experience in handling complaints process.

Responsibilities

• Ensure compliance of regulated and non-regulated mortgage contracts.
• Conduct file reviews assessing suitability and Consumer Duty considerations.
• Handle complaints from investigation through to conclusion.

Skills

Fraud Prevention

Anti Money Laundering

Consumer Duty

Excellent interpersonal and communication skills

Teamwork

Education

CeMAP or equivalent

RO5

QCF Level 4

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