We are working with a highly reputable mortgage network that are looking to appoint two field based Compliance Managers tasked with proactively monitoring network firms and advisers to identify risks.
You will be tasked with:
- Conducting field visits, which will included risk-based monitoring to ensure that network members comply with FCA requirements and rules in respect of mortgage and non-investment insurance business
- Acting as supervisor within the Training & Competence scheme
- Providing advice and guidance to network members in response to enquiries received
- Instructing, coaching and monitoring individuals, producing reports and individual training/development plans
Experienced Needed:
- 2+ years of experience in a similar role within the financial services sector
- A sound background in compliance monitoring, risk management and reporting processes
- Knowledge of systems of control and able to follow clearly defined procedures
- Experience of working under pressure, prioritising and working to tight deadlines
Qualifications:
- CeMAP or equivalent professional financial services qualification as a minimum
- CeRER desirable
- A full UK driving licence is essential
Impotant Information:
- This is a home based role with travel required along the M4 corridor (as far West as Swindon and into West London)
- Typically 1-2 visits each week
- Car allowance provided