Senior Compliance Manager (Mortgages / Wealth)

ZipRecruiter; London; On-site; GBP 40,000 - 75,000; Full time

Job summary

A leading financial services provider in London is seeking a Senior Compliance Manager. The role involves managing compliance for both regulated and non-regulated properties, ensuring adherence to FCA principles, and requires significant experience in mortgage compliance. Ideal candidates will possess relevant qualifications and excellent communication skills, while the salary ranges from £40k to £75k plus bonuses based on experience.

Benefits

Bonus

Benefits dependent on experience

Qualifications

• Experience in a dedicated mortgage compliance role is a must.
• Knowledge of FCA principles and regulations required.
• Understanding of Consumer Duty requirements needed.

Responsibilities

• Ensure compliance of regulated and non-regulated mortgage contracts.
• Conduct auditing of Adviser files for various financial products.
• Handle complaints from investigation through to conclusion.

Skills

Interpersonal skills

Communication skills

Knowledge of Anti Money Laundering

Knowledge of Fraud Prevention

Consumer Duty knowledge

Education

CeMAP or equivalent

QCF Level 4 qualification

General Insurance CII certificate

RO5 certification

Job description

Job Description

Senior Compliance Manager - Mortgages / WealthAre 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 experience in mortgage compliance.
• Must have adequate knowledge of Fraud Prevention, Anti-Money Laundering & Consumer Due Diligence regulations.
• Must have excellent interpersonal and communication skills.
• Must be able to work as part of a team and individually.

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