Compliance Officer

2 weeks ago


Whitechapel, Greater London, United Kingdom Ecruit Full time

About the Role

We are a dynamic and growing company, Ecruit, seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a crucial role in ensuring that our business meets and maintains the highest standards of compliance, particularly within our Appointed Representative (AR) firms and advisers.

Key Responsibilities:

  • Conduct regular 1-1 meetings and observations to assess compliance with regulations and company standards.
  • Review mortgage and insurance cases, providing feedback on risks, shortfalls, or potential fraud for adviser action.
  • Assess client files to ensure compliance with regulations and company standards.
  • Provide compliant guidance and support to staff and Appointed Representatives.
  • Monitor AR competence records (CPD) and provide feedback.
  • Support the development of training programs and provide guidance to new and existing staff.
  • Review sales promotions and documentation, providing feedback and guidance as required.
  • Accurately record findings and corrective actions.
  • Manage general compliance tasks for the company.

Requirements:

  • Previous experience in mortgage file reviewing or adviser roles.
  • CEMAP qualification.
  • Excellent organizational skills.
  • Ability to prepare reports and create and interpret management information.
  • Keen eye for detail.
  • Probing, investigative, and analytical skills.
  • Assertive communication skills.

About Us

Ecruit is a leading provider of mortgage and financial services. We pride ourselves on building long-lasting relationships with our clients and supporting them with all their financial needs. Our team of experts has a vast experience in the residential and commercial finance industry.



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