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Remote Compliance & Training Lead for Financial Advisers
Job summary
A leading independent mortgage brokerage in the UK is seeking a proactive Compliance Officer to support its adviser network. The role involves overseeing compliance for up to 40 advisers and ensuring adherence to regulatory standards. The ideal candidate is CeMAP qualified, has strong communication and analytical skills, and embodies a values-driven approach. This is a flexible remote position with opportunities for growth in a supportive culture.
Benefits
Qualifications
- Experience in compliance or T&C within financial services.
- Strong understanding of regulatory frameworks and conduct risk.
- Organised, proactive, and values-driven.
Responsibilities
- Oversee risk KPIs for up to 40 advisers.
- Conduct regular 1:1s and annual competency assessments.
- Ensure advisers complete exams and meet CPD requirements.
- Provide guidance on compliance and advice standards.
- Prepare monthly compliance reports for Openwork.
Skills
Education
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.