Mortgage Network Compliance Supervisor

6 days ago

London, Greater London, United Kingdom Refresh Network Full time £40,000 - £80,000 per year


Mortgage Network Compliance Supervisor (Remote)

We are seeking a Mortgage Supervisor with a strong knowledge of, and experience of, supporting brokers to achieve CAS, & maintaining CAS, along with file reviewing process & regulations to join our growing team in the UK.

The successful candidate will play a crucial role in overseeing and maintaining competence with regulatory requirements governing mortgage lending activities. With a focus on integrity and attention to detail, this individual will safeguard the interests of our clients and uphold the reputation of our organisation.

This role is a full time, permanent position working remotely from home.

Key Responsibilities

Working with the Compliance Manager to:

  • Support an adviser to achieve Competent Adviser Status
  • Support the advisers to maintain Competent Adviser Status
  • Training and Education - get involved with the Induction training of both mortgage & equity release advisers
  • Increase awareness & compliance regulations of Equity Release
  • Quality Assurance and Monitoring - complete business standards reviews and observations
  • Complete reviews of mortgage, insurance and equity release cases, provide feedback on risks, shortfalls or potential fraud for adviser action
  • Undertake 121 meetings ensuring all KPIs are being met by the adviser
  • Deal with adviser queries by phone/email
  • Monitor AR CPD records and provide feedback
  • Review sales promotions and documentation and provide feedback/guidance as required
  • Point of contact for customer complaints
  • Identify potential process/systems/documents improvements

Our ideal candidate:

  • Knowledge of FCA regulatory requirements
  • Experience of supervising a team of mortgage advisers
  • Knowledge and experience of mortgage/protection/equity release file reviewing process and requirements
  • CeMAP (essential)
  • CeRER (desirable)
  • Coaching and mentoring skills
  • Able to handle difficult conversations
  • Experience of handling customer complaints
  • Planning and organisation skills
  • Coaching and monitoring skills

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