Mortgage Compliance Officer -£30,000-£35,000 + Discretionary Bonus- London/ Hybrid
The Role
We are a well-established mortgage brokerage firm, looking to appoint an experienced CEMAP qualified Compliance officer to our growing team.
This position is key to ensuring that our compliance standards are met and maintained across the business, particularly within our Appointed Representative (AR) firms and advisers.
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:
- Complete 1-2-1s and observations
- Complete reviews of mortgage & insurance 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 Company
Rainstone Money has been built up by ex-professional bankers with a vast experience within the residential & commercial finance industry.
Since 2015, we have taken great pride in building long lasting relationships with our clients and supporting them with all their financial needs. We are experts in commercial finance, mortgages, development funding, bridging finance, business loans, asset finance, invoice finance and insurance.
The Person
- Previous mortgage file reviewing or adviser experience.
- Must be CeMAP qualified.
- 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.