Compliance Officer

6 months ago

Cardiff, United Kingdom Specialist Finance Centre Full time

**Mortgage Quality Control Officer (Compliance) preferably CeMAP Qualified**

To implement the compliance process through monitoring the quality of packaged cases at varying points in the process. To ensure the advisors are giving the correct advice and that the cases are dealt with in line with Consumer Duty and FCA guidelines. To maintain the highest standards through monitoring calls and documentation, checking the quality and accuracy of both. To work collaboratively with the advisors to provide constructive feedback, only allowing cases to proceed once any actions have been completed. To work collaboratively with colleagues within SFC.

**Main, ‘day to day’ duties**:
1. To maintain the highest possible standards of customer care and compliance:
a. Monitor calls and record the outcome of call monitoring.

b. Review documentation to ensure accuracy.

c. Provide written feedback to the advisors at each stage of the compliance process.

d. Record the outcome of monitoring for all cases audited.

e. To provide any requested data in relation to cases

f. To always strive to meet personal targets.

Other duties

1. To attend any relevant training provided

2. To engage with any process designed to enhance and improve service

3. Any other tasks in connection to the role that are deemed reasonable by the senior leadership team

**PERSONAL AND OTHER DUTIES AND RESPONSIBILTIIES**
- To always demonstrate company core values through personal behaviour.
- To actively keep updated with the company’s services, procedures, best practice and regulatory requirements.

3. To develop professionally by attending courses, meetings, training events, workshops and seminars.
- To demonstrate clear written and verbal communication skills.
- To be highly self-motivated and organised.
- To make informed decisions.
- A recognition and regard for observing confidentiality.
- An ability to work on own initiative and meet set timescales.

**QUALIFICATIONS AND TRAINING**
- CeMap 1,2 and 3

**KNOWLEDGE AND EXPERIENCE**
- Industry knowledge preferable.
- IT literate, particularly with Microsoft Office.

**KEY SKILLS & BEHAVIOURS REQUIRED**
- Ability to demonstrate clear written and verbal communication skills.
- Attention to detail.
- A responsible and professional attitude.
- Good people skills - able to build relationships with colleagues and external stakeholders.
- To act with integrity.
- To be highly organised with the ability to plan and prioritise your own workload.
- Calmness under pressure.
- Decision-making ability.
- Excellent interpersonal skills.

**PREFERED**

If you are a mortgage broker or have previously worked as a broker this would be an advantage.

**EQUALITY AND DIVERSITY**

All employees must ensure equality of opportunity and must not discriminate against customers, visitors, or colleagues, by reason of age, disability, gender reassignment, race, religion or belief, sex, sexual orientation, marriage and civil partnership or pregnancy and maternity, part time or fixed term status, or trade union membership. It is the responsibility of employees to promote equality and recognition of diversity on behalf of the company throughout the workplace.

**HEALTH AND SAFETY**

All employees have a legal duty of care to take reasonable care for the health and safety of themselves, and of other persons. All employees have a responsibility to cooperate and report anything that may affect one’s health and safety. No person shall intentionally or recklessly interfere with or misuse anything provided in the interests of health, safety or welfare.

**Salary**: £20,000.00-£30,000.00 per year

**Benefits**:

- Company pension
- Free parking
- Private medical insurance

Schedule:

- Flexitime
- Monday to Friday
- No weekends

Application question(s):

- Do you have mortgage advising experience?

Ability to Commute:

- Cardiff (required)

Work Location: In person

Reference ID: COMPLIANCE OFFICER

  • Compliance Officer

    5 months ago

    Cardiff, United Kingdom Connells Group Full time

    Are you a skilled and experienced conveyancer looking to take the next step in your career? Conveyancing Direct Property Lawyers are seeking a Compliance Officer to join our dynamic team in **Cardiff.** **Key responsibilities of** **a compliance officer** - Providing technical support for compliance mailboxes assisting on post completion, legal, AML queries...

  • Compliance Officer

    4 weeks ago

    Cardiff, Cardiff, United Kingdom BettingJobs Full time

    BettingJobs is currently seeking a Compliance Officer to join an iGaming company based in Cardiff. As a Compliance Officer, you would be responsible for reviewing customer due diligence and ensuring compliance to regulations and guidelines. The Compliance Officer role would suit an individual with an in-depth understanding of responsible gambling and AML...

  • Compliance Officer

    1 week ago

    Cardiff, United Kingdom Platform Recruitment Full time

    Cardiff/Remote – Project Compliance Officer – £50k-£70k - MarinePlatform Recruitment has partnered with an innovator of products who provide for the Marine industry. They are looking for a Project Compliance Officer to join their team. Reporting to the PMO Manager and working within the Systems Delivery department, you will be responsible for all...

  • Compliance Officer

    7 days ago

    Cardiff, United Kingdom Platform Recruitment Full time

    Job Description Cardiff/Remote – Project Compliance Officer – £50k-£70k - Marine Platform Recruitment has partnered with an innovator of products who provide for the Marine industry. They are looking for a Project Compliance Officer to join their team. Reporting to the PMO Manager and working within the Systems Delivery department, you will be...

  • Compliance Officer

    6 months ago

    Cardiff, United Kingdom Vibe Recruit Ltd Full time

    **Vibe Recruit** are seeking a **Compliance Officer** to join our client who works within the construction sector. As a compliance officer you will be required to ensure the business is in compliance with its outside regulatory and legal requirements as well as internal policies and bylaws. Main duties are: - Maintaining, updating and auditing existing...

  • Compliance Officer

    6 months ago

    Cardiff, United Kingdom Cove Recruitment Ltd Full time

    Are you an audit enthusiast with a passion for maintaining impeccable quality and safety standards? If you thrive in a compliance-driven environment and have a sharp eye for detail, we want to hear from you! We are currently seeking a proactive and dedicated Quality and H&S Compliance Officer to join our niche construction sector client. This is a fantastic...

  • Compliance Officer

    6 months ago

    Cardiff, United Kingdom Prospero Health & Social Care Full time

    Prospero Health and Social Care is a leading provider of temporary and permanent healthcare staff across the UK. With over a decade of experience, we have built a reputation for delivering high-quality services to a range of healthcare settings, including hospitals, care homes, and community care services. Are you looking for a career that offers meaningful...

  • Compliance Officer

    5 months ago

    Cardiff, United Kingdom Fleet Mortgages Full time

    **Job Title**: Compliance Officer **Location**:Cardiff, Wales with hybrid working **Hours**:Full-time **About Fleet Mortgages** Fleet Mortgages is a major player in the specialist Buy to Let Mortgage market. We are currently looking for a Compliance Officer to join our Legal and Compliance Team here at Fleet Mortgages. **What we can offer you** We...

  • Compliance Officer

    1 month ago

    Cardiff, Cardiff, United Kingdom Bipsync Full time

    Job DescriptionAs a Compliance Manager at Bipsync, you will play a critical role in ensuring our company's adherence to relevant laws and regulations. Your attention to detail and expertise will help us maintain a compliant culture, minimizing risks and safeguarding sensitive data. Collaborating with various departments, you will implement robust security...

  • Compliance Officer

    5 months ago

    Cardiff, United Kingdom Pullman Rail Full time

    We are seeking a highly organized and detail-oriented Compliance Officer to join our team. **PURPOSE OF THE JOB** The Compliance Officer is responsible for the day-to-day management of compliance systems and processes that support the business Quality Management and Assurance. This includes the calibration arrangements, Fitness to Release checks, goods...

  • Compliance Officer

    2 weeks ago

    Cardiff, Cardiff, United Kingdom Bipsync Full time

    Job Description: As a Compliance Manager at Bipsync, you will play a critical role in ensuring the company's adherence to relevant laws and regulations. Your attention to detail and expertise will help us maintain a compliant culture, minimizing risks and safeguarding sensitive data. Collaborating with various departments, you will implement robust security...

  • Project Compliance Officer

    3 weeks ago

    Cardiff, United Kingdom CV-Library Full time

    Project Compliance Officer Cardiff (Very flexible working) Salary: £60,000 DOE + Benefits CPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team. In this position you will be reporting to the PMO Manager and working within the systems delivery department...

  • Project Compliance Officer

    3 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time €60,000

    Project Compliance Officer Cardiff (Very flexible working) Salary: £60,000 DOE + Benefits CPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team. In this position you will be reporting to the PMO Manager and working within the systems delivery department...

  • Project Compliance Officer

    2 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time

    Project Compliance Officer Cardiff (Very flexible working) Salary: £60,000 DOE + Benefits CPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team. In this position you will be reporting to the PMO Manager and working within the systems delivery department but...

  • Project Compliance Officer

    3 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time

    Project Compliance OfficerCardiff (Very flexible working)Salary: £60,000 DOE + BenefitsCPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team.In this position you will be reporting to the PMO Manager and working within the systems delivery department but will...

  • Project Compliance Officer

    3 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time €60,000

    Project Compliance Officer Cardiff (Very flexible working) Salary: £60,000 DOE + Benefits CPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team. In this position you will be reporting to the PMO Manager and working within the systems delivery department...

  • Project Compliance Officer

    3 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time

    Project Compliance OfficerCardiff (Very flexible working)Salary: £60,000 DOE + BenefitsCPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team.In this position you will be reporting to the PMO Manager and working within the systems delivery department but will...

  • Project Compliance Officer

    3 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time

    Project Compliance OfficerCardiff (Very flexible working)Salary: £60,000 DOE + BenefitsCPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team.In this position you will be reporting to the PMO Manager and working within the systems delivery department but will...

  • Project Compliance Officer

    2 weeks ago

    Cardiff, United Kingdom CPS Group (UK) Limited Full time

    Project Compliance Officer Cardiff (Very flexible working) Salary: £60,000 DOE + Benefits CPS Group are working with a global engineering company who have a fantastic opportunity for a new Project Compliance Officer to join their growing team. In this position you will be reporting to the PMO Manager and working within the systems delivery...

  • Quality and Compliance Officer

    6 months ago

    Cardiff, United Kingdom Cove Recruitment Ltd Full time

    Are you an audit enthusiast with a passion for maintaining impeccable quality and safety standards? If you thrive in a compliance-driven environment and have a sharp eye for detail, we want to hear from you! We are currently seeking a proactive and dedicated Quality and H&S Compliance Officer to join our niche construction sector client. This is a fantastic...