Compliance Review Officer
Posted 5 days ago by HL Partnership
Negotiable
Fixed-Term
Hybrid
Braunstone, Leicestershire, UK
Summary: The Compliance Review Officer role is a fixed-term position based in Leicester, focusing on ensuring compliance with regulations and company standards within the mortgage sector. The successful candidate will assess client files, provide guidance to staff, and improve risk assessment ratings. This position offers a salary based on qualifications and experience, with opportunities for hybrid working after probation. The role requires strong communication skills and a background in regulatory environments, ideally with CeMap qualification.
Key Responsibilities:
- Assessment of client files to ensure compliance with regulations and company standards.
- Ensure their Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes.
- Provide compliant guidance and support to staff and Appointed Representatives.
- To instruct and coach members in order to improve risk assessment ratings.
- Accurately record any findings and corrective activity.
Key Skills:
- Experience in a regulatory environment.
- Ability to work under pressure, prioritising and meeting tight deadlines.
- Good computer skills, including Microsoft applications.
- CeMap qualification (or willingness to work towards it) and experience in mortgage compliance.
- Excellent verbal and written communication skills.
- Self-motivated with a desire to provide support and discuss regulatory matters confidently.
Salary (Rate): £28,000 yearly
City: Leicester
Country: UK
Working Arrangements: hybrid
IR35 Status: fixed-term
Seniority Level: Mid-Level
Industry: Other
Compliance Review Officer
Leicester
12 Months Fixed Term Contract
£26-28k per annum - with CeMap qualification
£23-25k per annum - with no CeMap but Mortgage Admin experience
We are the largest privately-owned mortgage network in the UK. Our goal is to continue to be the best home for mortgage advisers, protection specialists, equity release experts and general insurance professionals, whatever their size or location. Due to continued growth, we are looking to expand our compliance team at our head office in Leicester.
Key Tasks
- Assessment of client files to ensure compliance with regulations and company standards.
- Ensure their Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes.
- Provide compliant guidance and support to staff and Appointed Representatives.
- To instruct and coach members in order to improve risk assessment ratings.
- Accurately record any findings and corrective activity.
Experience
- Ideally we're looking for someone with experience, with a good grounding and understanding of working on a regulatory environment.
- Experience of working under pressure, prioritising and working to tight deadlines is essential.
- It is essential that you have good computer skills, including but not limited to Microsoft applications.
Qualifications
- Ideally you will need to be CeMap qualified (or willing to work towards it) and have experience within the mortgage compliance environment.
Personal Qualities
- You need to have excellent verbal and written communication skills with the ability to analyse information with a view to making informed decisions.
- Ideally we need someone who is highly self-motivated to meet key objectives, with a real desire to provide support, with a confident and assured approach when discussing regulatory matters.
Benefits
- £26-28k per annum - with CeMap qualification
- £23-25k per annum - with no CeMap but Mortage Admin experience
- Additional leave 22 days plus bank holidays as standard with the option to buy more each year
- Company pension
- Health and wellbeing programme
- Sick pay
This is a fixed term contract role based at our Leicester office. Our normal working hours are 35 hours a week, Monday to Friday. Hybrid working will be available upon successful completion of your probation.
Remote working will be available to candidates who have their CeMap and do not live within a reasonable commuting distance.
As we are a non-sponsoring organisation, you will need to have the right to work in the UK.