Compliance Officer - Mortgages / Lending
Altrincham
£40,000-£45,000 - 4 Days Office / 1 Day from home.
The Role for Compliance Officer
We are a well-established Bridging Finance Lender, looking to appoint a qualified Compliance officer to their growing team.
This position is key to ensuring that our compliance standards are met and maintained across the business,
If you are ready to take the next step in your career with a dynamic and growing company, we would love to hear from you.
Key Responsibilities for the Compliance Officer:
- Complete 1-2-1s and observations
- Complete reviews of the Loan and Bridge Cases, provide feedback on risks, shortfalls or potential fraud for adviser action.
- Assessment of client files to ensure compliance with regulations and company standards.
- Provide compliant guidance and support to staff and Appointed Representatives.
- Monitor AR competence records (CPD) and provide feedback
- Help with training and providing support to new and existing staff.
- Review sales promotions & documentation and provide feedback/guidance as required
- Keep team spreadsheets up to date
- Support the staff with how to handle customer complaints & the process for escalation to the 2nd Line Compliance Team.
- Accurately record any findings and corrective activity.
- Manage general compliance tasks for the company.
- Embrace company values and promote them effectively.
The Person for the Compliance Officer:
- Compliance and audit experience within a financial lender,
- Experience of providing one to one feedback around compliance or receiving one to one feedback around compliance as a mortgage adviser.
- Excellent organisational skills.
- Ability to prepare reports, create and interpret MI.
- Keen eye for detail.
- Probing, investigative, analytical.
- Assertive communicator.