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Compliance Monitoring Officer

2 months ago

Glasgow, United Kingdom LiveMore Mortgages Full time

This is a part-time role of 3 days a week.
Hybrid pattern: 1 day in the office, 2 at home.
Days are negotiable.

Thousands of people, whether they're 50 or in their 90s, can afford a mortgage to live the life they deserve. But when it comes to lending to them, high-street banks often don't recognise their wealth of life experience.

LiveMore creates mortgages designed for life from 50 to 90+ and we like to say yes, so our customers don’t have to miss out on the goals of extra retirement income, a second home, gifts to children or home improvements. We can also help customers who are on high monthly payments, are forced to sell, downsize, or rent. Whether our customers are working, enjoying their retirement or a bit of both, our mission is simple: we are a solution-led lender to enable our customers to keep living the life they love.

LiveMore is an innovative company with ambitious plans; our ultimate goal is to become the main household name for later-life lending, and we know that our people are the key to achieving this goal.  

The role

The Quality Assurance (QA) Monitoring Officer role is pivotal for keeping LiveMore compliant with all applicable laws and regulations. You will be responsible for checking that the services our Advisers, operational staff and outsourced suppliers provide are compliant with applicable regulations, and our internal policies and processes.  You will also help prevent financial crime by checking PEP and sanctions referrals for positive matches when the Head of Compliance is on leave.

Responsibilities

Develop and implement QA monitoring plans and checklists. Perform quality assurance monitoring for the business for: Underwriting – including pre-offer calls. LiveMore Advice Outsourced loan servicer, including vulnerable customer review calls. Equity Release servicing. Identify areas of non-compliance and operational risk, providing actionable recommendations for improvement. Reporting QA results for the Conduct and Risk Committee. Assign online Compliance training modules to new starters. Assign monthly Compliance training to all staff; monitor completion rates and escalate non-completions. Review PEP sanctions and referrals and investigate potential sanctions when the Head of Compliance is absent. Assist in preparing for internal and external audits, ensuring all documentation is accurate and readily available. Provide guidance to the business on basic compliance and QA matters. Cultivate a culture of accountability and conduct in line with LiveMore’s values, by doing what you say you will do. Stay updated on regulatory changes and industry developments, advising your stakeholders on necessary adjustments.

Experience and Competencies

Solid experience in compliance, quality assurance or similar role at this level, within the mortgage or financial services industry. In-depth knowledge of UK mortgage regulations, including FCA guidelines and AML requirements. A basic knowledge of mortgage advice is preferred. Strong analytical skills with the ability to identify trends, risks, and areas for improvement. Excellent interpersonal skills. High attention to detail. Strong prioritisation skills. Ability to work independently and manage multiple priorities in a fast-paced environment.

Values and behaviours

Looks to improve the way we do things. Uses QA monitoring to advocate for the customer. You measure the impact of your work to ensure you’re adding value. You’re comfortable with challenging others. You enjoy working collaboratively.

Benefits

Discretionary bonus Growth shares 30 days’ holiday, plus bank holidays Health cash plan Salary sacrifice pension scheme, with an employee contribution of 5% and employer contribution of 3% Employee assistance programme