Our client is a leading and specialist lending firm who are currently recruiting for a Compliance Assurance Manager. The role is a field based role and is responsible for making sure all branch activity comply with policies, procedures and legislation ensuring a compliant framework. The role holder can be located in their local branch.
This Client does not provide sponsorship.
- Establish and maintain a branch network assurance review programme that ensures the business is operating within current internal policies, guidelines and current legislation
- Establish and maintain a branch network assurance programme that considers all relevant regulatory requirements and legislation.
- Plan and execute branch assurance reviews, identifying and challenging any areas of underperformance or failure to comply with current policies and legislation.
- Enable the business to meet its statutory responsibilities and support a culture of compliance with all laws and regulations being embedded throughout the business.
- Personal compliance with company policies and procedures.
- Develop and implement a compliant framework for the achievement of company goals.
- Monitor and review performance results achieved in-line with the plan ensuring any plans of action are agreed, evidenced and are within a given timeframe
- Build and establish effective two-way business relationships.
- Establish an open and honest relationship with all internal and external customers.
- Embrace company initiatives and changing working practices
- Experience working within compliance assurance, preferably from a financial services background.
- Familiarity with FCA regulation
- Strong commercial and financial awareness
- Report writing expertise
- Mortgage Underwriting
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