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Compliance Officer

3 months ago

Stockport, United Kingdom NJR Recruitment Full time

**Location**
**Salary**
**Posted on**
**Reference**
***

Stockport
£28000 - £32000 23/02/2024
NJR14619

DESCRIPTION

Our client is a young, successful and growing firm of Independent Mortgage Brokers. They operate from multiple locations and now require additional team members to join their compliance team in their Stockport office.

BENEFITS INCLUDE:
25 days holiday + Bank holidays
No evening or weekend work
Cash Plan with Westfield Health
Access to Free Therapy sessions
Cash advance facility with Fast PAYE
End of Quarter Events and incentives

This will be a varied role and general responsibilities will include:
Carry out advised sales audits and delivering prompt and clear feedback to the Advisors
Maintain accurate records of all completed audits & highlight any training requirements
Assist the Group Head of Compliance to prepare management information
Handle customer complaints within the FCA timeframes
Responsible for the supervision of the new to role Advisors & continue to offer support once CAS has been achieved
Act as a point of contact and provide compliance advice
Encourage best practice of internal procedures when analysing noncompliant incidents and encourage a \"right first time\" culture

What we need from you:
CeMap qualified with a minimum 2 years experience in a similar compliance role
Ability to communicate effectively both orally and in writing
Display excellent attention to detail, able to work under pressure, multi task and act on own initiative
Deliver effective quality assurance checks to ensure sales have been carried out in a compliant manner, to an acceptable standard, and that customers have been treated fairly at all times
To highlight issues and potential risks to the Group Head of Compliance to safeguard the business
To maintain a thorough working knowledge of mortgage & protection products & keep up to date with the FCA regulations.

NJR 14619