Compliance Officer

4 weeks ago


City Of London, United Kingdom Pure Resourcing Limited Full time

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.

The 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)


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