Senior Compliance Manager

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

Job summary

A leading financial services provider in London seeks a Senior Compliance Manager to join their compliance team. This role entails ensuring business assurance in mortgage finance advice and wealth management. Candidates should possess significant experience in mortgage compliance, with relevant qualifications such as CeMAP. A competitive salary and bonus package, alongside excellent career progression opportunities, are offered.

Benefits

Excellent Bonus

Flexible Benefits Package

Qualifications

• Proven experience in mortgage compliance roles.
• Understanding of FCA principles and regulations.
• Experience handling complaints processes.

Responsibilities

• Ensure compliance of regulated and non-regulated mortgage contracts.
• Conduct file reviews and assess suitability.
• Produce Compliance Audit Reports and handle complaints.

Skills

Anti Money Laundering

Fraud Prevention

Consumer Duty

Excellent Interpersonal and Communication Skills

Education

CeMAP or equivalent

Protection (RO5)

Wealth Management (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