Regional Compliance Officer
4 weeks ago
Regional Compliance Manager
Home-based - covering Stafford up to south Sheffield
Our client is a leading mortgage network in the UK, dedicated to providing a supportive environment for mortgage advisers, protection specialists, equity release experts, and general insurance professionals. Due to continued growth, they are expanding their compliance team to ensure high-quality face-to-face compliance support for their firms.
This role will be the primary point of contact for Appointed Representatives in an allocated region, overseeing a risk-based monitoring program to ensure compliance with network standards and regulatory requirements.
The successful candidate will ensure Appointed Representatives adhere to FCA guidelines, prioritizing 'Treating Customers Fairly' and delivering excellent customer outcomes.
Requirements:
- Minimum 2 years of experience in a similar role within the financial services sector.
- A sound background in compliance monitoring, risk management, and reporting processes.
- Knowledge of systems of control and ability to follow clearly defined procedures.
- Experience of working under pressure, prioritizing, and meeting tight deadlines.
Qualifications:
- CeMAP or equivalent professional financial services qualification as a minimum.
- CeRER desirable.
A full UK driving licence is essential.
Benefits:
- £34,000 - £36,000 per annum plus car allowance.
- Additional leave.
- Sick pay.
- Work from home.
As a non-sponsoring company, they are unable to accept applications from those without the right to work in the UK.
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