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Compliance Manager

3 months ago

Birmingham, Birmingham, United Kingdom Cameron Clarke Associates Full time

Compliance Manager | Remote| Full Time | £35,000.00 to £44,000.00 dependant on experience

We are a completely independent Network for mortgage and protection brokers with over 700 members across the UK. Due to our continued growth, we are recruiting for a Compliance Manager to look after our Advisers based in the North East of England/South of Scotland area.

Please note- working hours are generally, 9 am – 5 pm but could vary depending on business needs

Are you the right person for the job?

  • This is a field based role. The successful candidate will ideally reside in the North East area/South of Scotland as travel to Advisers will be required from time to time
  • Minimum 2 years experience in a similar role within the financial services sector
  • Excellent verbal and written communication skills
  • Ability to work under pressure, prioritise and work to tight deadlines
  • Coaching and mentoring and people management skills
  • The ability to analyse information with a view to making informed decisions
  • Competent in Microsoft Office suite i.e. Excel, Word etc
  • Full CeMAP or equivalent
  • The successful candidate must have a strong understanding of Mortgages, General Insurance, Pure Protection and Equity Release

What will your role look like?

  • To maintain a primary point of contact for Appointed Representatives in an allocated area and to manage the T&C program to ensure compliance with network standards.
  • To ensure compliance with Company and regulators' compliance procedures.
  • To identify the business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place.
  • To ensure appropriate standards/ procedures are followed by authorised appointed representatives.
  • Instruct, coach and monitor individuals, producing reports and individual training/ development plans ensuring all outstanding actions are completed within agreed timescales.
  • Identifying areas where appointed representatives can improve their standards and associated risk ratings.
  • Accurately record any findings and corrective activity.
  • To assist and guide the File Review team members regarding technical queries and challenges arising in the file review process.
  • Deal with any issues escalated as a result of reviews carried out by the file review team.
  • Develop working practices to meet the requirements of the business for accuracy and efficiency.
  • Deliver appropriate service to Directly Authorised firms who have a Compliance Support package

What can you expect in return?

  • A pension scheme
  • A staff referral scheme
  • An adviser referral scheme
  • A friendly, motivated team and a supportive working environment
  • Office closure over Christmas
  • Open and communicative relationship with management, with regular 1:1 sessions

What's next? It's easy Click "APPLY" now We can't wait to hear from you

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