Compliance Officer

1 month ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Officer Role

We are seeking a seasoned Compliance Officer to join our team at Compliance Professionals. As a specialist mortgage lending company, we require a professional with a strong background in compliance and financial crimes to ensure our operations meet the highest regulatory standards.



Key Responsibilities

  • Maintain and develop compliance policies, providing expert advice to management on potential risks and regulatory requirements.
  • Oversee the compliance monitoring calendar, ensuring our operations remain in line with regulatory expectations.
  • Provide regular reporting to management on our compliance status, highlighting areas for improvement.
  • Develop and implement an audit calendar, working closely with the Risk Committee to ensure effective internal and external oversight.
  • Engage with external auditors, managing the audit process and addressing any findings.
  • Create and manage action plans in response to audit outcomes, ensuring timely implementation and resolution.
  • Conduct internal reviews of our policies and procedures, providing recommendations for improvement.
  • Complete all required regulatory returns and maintain accurate records.
  • Responsible for implementing and maintaining financial crimes policies and procedures.
  • Perform a second line of defense role, ensuring our operations remain secure and compliant.
  • Maintain our financial crime risk assessment tool, providing ongoing analysis and recommendations.
  • Produce relevant management information on financial crimes and draft the annual MLRO report.
  • Investigate Suspicious Activity Reports (SARs), reporting findings to the relevant authorities as required.
  • Stay up-to-date with financial crime legislation and best practices, attending training and participating in industry groups.
  • Keep the Board and Risk Committee informed of any regulatory changes affecting our operations.
  • Provide ongoing training to our team on financial crime and compliance.
  • Responsible for ensuring Data Protection and Security Policies are in place and maintained.
  • Maintain appropriate registers, such as the Register of Processing Activities.
  • Manage borrowers' rights under data protection legislation.
  • Data Security management - Review proposed changes and new IT software.
  • Liaise with IT to conduct Phishing Exercises and similar.
  • Maintain and update Complaints Handling Procedures.
  • Conduct complaint investigations and issue final response letters as appropriate.
  • Liaise with the Financial Ombudsman Service.
  • Conduct Root Cause Analysis.
  • Arrange for employment vetting using an external agency.
  • Design and implement a compliance induction program.


Requirements

  • Minimum 3 years of proven experience in a compliance role at a mortgage lender.
  • Strong knowledge of PRA & FCA regulation of the mortgage industry, including CBTL.
  • Able to work with minimal supervision.
  • Strong attention to detail and analytical skills.
  • Able to hold their own in discussions with senior colleagues.


For further information, please contact Spencer Evans.

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