Compliance Manager

2 weeks ago

Gerrards Cross, United Kingdom Virtuoso Recruitment Limited Full time

**Compliance Manager - Gerrards Cross**

**Job description**

We are an established Property Finance Brokerage specialising in Bridging, Buy to Let, Commercial Term, Development finance, Residential Mortgages, Life Assurance and General Insurance.

We are building an amazing team and looking for an ambitious Compliance Manager to join the team, **based at our offices in Gerrards Cross.**

Reporting to the Commercial Director, the role will require a high degree of attention to detail a detailed knowledge of the mortgage sales and compliance processes along with experience in dealing with mortgage and protection advisors.

You will be required to oversee that mortgage and protection case files have followed the correct sales process and that the correct advice has been given to the customers.

This is a role that requires a proactive, flexible, hardworking approach and positive attitude; with a need for attention to detail and strong organisational skills and managing multiple priorities.

If you are innovative, curious, and not afraid of a challenge, we would love to hear from you.

**What skills are required to be considered?**
- Proven experience in compliance and regulation
- Understanding of UK regulatory requirements within the mortgage sector of the financial services industry
- Good experience within the mortgage sector of financial services and practical experience and knowledge of compliance monitoring activities is essential
- Knowledge of Data Protection, including GDPR and Anti-Money Laundering Regulations
- A good understanding of FCA handbooks and regulatory guides
- CeMAP qualification

**Daily duties include**
- Carry out the assessment of mortgage advice provided to clients by checking each mortgage file
- Identify report and document errors and risks ensuring the process for remedial action is followed
- Communicate updates in legislation and how they affect the business
- Maintain documented processes and procedures for the business
- Support and implement relevant training and development needs of the AR’s and internal staff where appropriate
- Assessment of individual AR Firms
- Onboarding new firms and AR’s
- Assist in the adoption of best practices and procedures within the regulations of the Data Protection Act (DPA) including GDPR and AML/TCF/Consumer Duty
- Ongoing monitoring of AML and DPA activities within the business and reporting the findings for inclusion in the annual MLRO and DPA Report
- Working with the team to meet and ideally exceed SLA levels.
- Creating and reviewing regulatory compliance documentation
- Coordinate the creation, review and implementation of policies and procedures resulting from new laws and regulations.
- Sign off any advertising or marketing campaigns for all AR’s and internally to ensure they remain compliant.
- Conducting investigations to discover the cause of compliance problems if they arise
- Working closely with our Compliance Officer (outsourced)
- Designing and coordinating the preparation and ongoing review of policies, procedures, training material and other communication tools to ensure all departments meet compliance requirements
- Coordinating regulatory exams and internal business unit audits
- Interacting with external auditors on matters related to audits of the organisations internal controls.
- Establishing self-audit and compliance monitoring programs
- Reviewing and assessing potential fraud activity and developing fraud detection tools
- Filing regulatory reports and other documentation
- Coordinating and rolling out training of new or updated policies when required.
- Design and monitor control systems to deal with violations of legal rules and internal policies
- Regularly assess the efficiency of control systems and recommend effective improvements
- Perform periodic audits on company procedures and processes
- Visit AR’s regularly and perform on site compliance reviews.
- Assess the business’s future ventures to identify possible compliance risks
- Supervise compliance team

**What’s on offer**
- 25 days holiday + bank holidays
- Contributory Pension.
- Job Types: Full-time, Permanent
- Salary: depending on experience £55-£65K

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