Senior Compliance Officer

1 month ago

UK, UK, United Kingdom Stellar Select Full time

Job Title: Senior Compliance Officer

Location: London with Hybrid work 2 days from home

Salary: Up to £95,000 plus discretionary bonus

Working Hours: Monday - Friday 9 am - 6 pm

Benefits:

  • 25 Days Holiday Plus bank and public holidays
  • Pension scheme
  • Private healthcare
  • Other flexible benefits

About the role of Senior Compliance Officer

We have a great new opportunity as a stand-alone Senior Compliance Officer with a specialist Bridging and Buy to Let lender. Reporting to the Risk Director and serving as Deputy MLRO and a member of the Risk Committee, the Senior Compliance Officer will ensure the company remains compliant with all regulatory requirements while achieving its business objectives. The role involves providing day-to-day compliance support to underwriting teams, developing and maintaining a robust second-line financial crime and data protection framework, and collaborating effectively with third-line assurance. The Senior Compliance Officer will also own, develop, and review company policies (excluding credit) and educate employees on the latest regulations, processes, and best practices, with a strong emphasis on protecting the business from financial crime.

Responsibilities required for the role of Senior Compliance Officer

  • Own, maintain, develop and review compliance policies, advising management on possible risks
  • Maintain the compliance monitoring calendar
  • Advise management on the company's compliance with regulations through regular reporting
  • Develop and implement an audit calendar to be approved by the Risk Committee for internal and external oversight
  • Engage with 3rd party auditors and manage audit process and findings
  • Create and manage action plans in response to audit findings and outcomes
  • Conduct Internal reviews against the firm's policies e.g. third-party introducers
  • Complete all required regulatory returns and CIFAS returns/attendance at CIFAS meetings
  • Responsible for implementing and maintaining all Financial Crimes policies and procedures
  • Carry out a second line of defence role
  • Maintain the firm's financial crime risk assessment tool
  • Produce relevant management information regarding Financial Crime and draft the annual MLRO report
  • Investigate Suspicious Activity Reports and report the relevant law enforcement body if required
  • Maintain knowledge of financial crime legislation and good practice (including attending external training and CIFAS Mortgage Sector Working Party Group)
  • Keep the firm's Board and Risk Committee up to date on any upcoming changes which would impact the firm
  • Provide ongoing training to firms on financial crime
  • Responsible for ensuring Data Protection and Security Policies are in place and maintained
  • Responsible for maintaining appropriate registers such as the Register of Processing Activities
  • Manage borrowers' rights under data protection legislation e.g. Data Subject Access Requests
  • Data Security management - Review proposed changes and new IT software from a data protection and security perspective
  • Liaising with IT to conduct Phishing Exercises and similar
  • Maintain and update the firms Complaints Handling Procedures
  • Conduct complaint investigations and issue final response letters as appropriate
  • Liaise with the Financial Ombudsman Service
  • Conduct Route Cause Analysis

Experience required for the role of Senior Compliance Officer

  • 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 minimum supervision
  • Strong attention to detail and analytical skills
  • Experience gained with a Buy to Let or Bridging Lender

For more information regarding the role of Senior Compliance Officer please contact us

Stellar Select is acting as an employment agency and is a corporate member of the REC

Due to a high volume of applications, we will only contact you if your application has been successful. We aim to contact all successful contacts within two business days.

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