Senior Compliance Officer

3 weeks ago


Glasgow, Glasgow City, United Kingdom Ultimate Banking Full time £40,000
Senior Compliance Officer

Ultimate Banking is a dedicated provider of specialized financial solutions, focusing on a diverse range of mortgage products tailored for individuals aged 50 and above.

We are committed to delivering exceptional service to our clients and are in search of a seasoned compliance professional to enhance our compliance team.

This position involves close collaboration with the Head of Compliance, ensuring that all organizational entities and departments adhere to the highest compliance standards.

Key Responsibilities of the Senior Compliance Officer include:

  • Assisting in compliance oversight across various departments
  • Monitoring calls and files of our external loan servicing partner
  • Conducting quality assurance evaluations for our internal Mortgage Advice team
  • Reviewing PEP and sanctions referrals in the absence of the Head of Compliance
  • Supporting the upkeep of multiple risk registers and incident management reports
  • Providing compliance assistance to the Human Resources department
  • Offering AML/CTF support to the Money Laundering Reporting Officer
  • Assisting in compliance reporting to upper management

The ideal candidate will possess prior experience in reviewing and conducting quality assurance checks on mortgage advice documentation, along with a solid understanding of the FCA compliance framework.


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