Compliance Operations Manager - Derby, Head Office based

Mortgage Advice Bureau (MAB) is an established and fast growing national, award winning mortgage network and due to an internal reorganisation of the Compliance department a vacancy for an Operations Manager has been created; the role is full time and based at our Head Office in Derby. 

The Role

Reporting to the Compliance Director the role covers:

• Managing the Recruitment Support function to ensure all adviser, business and introducer paperwork is processed and vetted through to appointment
• Ensuring ongoing fitness and propriety of all advisers, business principals and staff
• Ensuring financial monitoring requirements of firms and advisers is met
• Managing the Sales Quality to team to ensure business checks are met to meet the requirements of the business and the T&C Scheme

The Individual

The Candidate must:

• Currently work in a compliance environment in financial services and be experienced in managing teams to deliver to specific deadlines
• Have a full understanding and working knowledge of all areas of compliance - eg Complaints, Financial Promotions, T&C Schemes, Supervision of advisers,
• Have a full working knowledge of the MCOB and ICOB rules
• Hold full FPC and CEMAP or equivalent
• Have excellent written and oral communication skills and the ability to interact at all levels
• Be a team player
• Have enthusiasm and be able to drive change forward

 Benefits

• Salary circa £35k per annum
• Stakeholder Pension Scheme
• Death in Service benefit
• 25 days annual holiday rising to 28 days