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Compliance and Risk Officer
3 months ago
IMMEDIATE START
CeMAP qualified?
Prior mortgage finance experience?
Are you ready to act as the first line of defence? Monitoring risk whilst operating effective processes and controls for an established mortgage broking company
If this describe YOU and you're looking for an IMMEDIATE start then you should not delay in contacting Helen at ME Recruits for further detail.
Utilising your extensive qualifications and experience, your role will prove to be fundamental in all aspects of compliance and risk.
Working 1:1 with the Head of Compliance, your career will progress and develop as you look to ensure standards are adheredto and the outstanding reputation of this company is maintained.
Key responsibilities:
- Responsible for the complaints management process within the firm. (This will always be a dual sign off process (with the Head of Compliance and Client Services), however, this role will be responsible for the core investigation work associated with complaintsand drafting of final response letters).
- Responsible for implementing the nonregulated components of the file review requirements within the T&C scheme.
- Keep up to date with regulatory developments and update the Senior Management Team of any changes within a timely manner.
- Implementation of the Compliance Monitoring Plan which will include an annual update of core compliance policies and an annual attestation from staff. This will also include a check of adherence to any new regulation e.g. Consumer Duty.
- Support any pre/post work in respect of File Reviews/Audits completed by SimplyBiz.
- Manage the Introducer registration process including an annual review of active introducers.
Location:
Kings Hill
Salary:
£40,000 +
Hours:
Monday - Friday
Additional information:
Hybrid 1 days a week with 5% performance related bonus