The ideal candidate will have a minimum of 3 years compliance experience, preferably gained in a mortgage/secured loan environment, but strong candidates from other financial services disciplines may be considered.
The candidate will be reporting into the Group Compliance Manager.
The main duties will include but not be limited to:
- Assisting the compliance manager on delegated monitoring tasks as per the annual monitoring programme. This will include sample testing mortgage/loan files and telephone calls reviews, T&C file checks, review of correspondence and any other material as required.
- Writing up the reviews undertaken and issues identified. Escalation and resolution of issues where appropriate.
- Reviewing and updating the Compliance manual where required.
- Answering staff queries on specific cases using regulatory/mortgage knowledge
- Regulatory (FCA)and internal reporting including management information analysis.
- Undertaking Adhoc projects where required
- Deputise for the compliance manager in their absence.
- Complaint investigation and resolution including preparing final responses to clients.
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