Compliance Officer
2 weeks ago
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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