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Compliance Officer
1 week ago
Compliance Officer - Mortgages / Wealth
Are you interested in working for a leading financial services provider based in the City of London?
An excellent opportunity is available for an experienced Compliance Officer to join the compliance team, ensuring that the business assurance / compliance is maintained in areas of regulated and non-regulated property finance advice (mortgages, BTL, Bridging Finance, HNW, Self Build) and Wealth Management (Pensions / Investments).
Candidates must have proven experience in a dedicated mortgage compliance role including areas such as Anti Money Laundering, Fraud Prevention and Consumer Duty.
This is a great opportunity to join a thriving business offering genuine career progression.
Areas of responsibility:
- Compliance of regulated and non-regulated mortgage contracts.
- File reviews - assessing suitability of the recommendation as well as Consumer Duty considerations.
- Provide face-to-face or telephone feedback where appropriate.
- Assisting with general compliance queries.
- Auditing of Adviser files for Regulated Mortgages, Non Regulated Mortgages, Life Insurance, General Insurance and Wealth Management files.
- Production of Compliance Audit Reports regarding the audits conducted.
- Complaints Handling (from investigation through to conclusion).
- Dealing with adhoc KYC/CDD Queries including possible sanction matches.
- Suspicious Activity Investigations / NCA reporting (from investigation through to conclusion).
Experience required:
- Must possess the relevant qualifications for the business areas involved in e.g. mortgages (CeMAP or equivalent), protection (RO5), Wealth Management (QCF Level 4 qualified). Desirable - General Insurance CII certificate.
- Must have adequate knowledge of FCA principles and regulations.
- Must have an understanding of the requirements under The Consumer Duty.
- Must have experience in mortgage compliance.
- Must have adequate knowledge of Fraud Prevention, Anti-Money Laundering & Consumer Due Diligence regulations.
- Must have excellent interpersonal and communication skills.
- Must be able to work as part of a team and individually.
£40k - £60k basic + Bonus + Benefits (Dependent on experience)
Seniority level- Mid-Senior level
- Full-time
- Quality Assurance and Other
