This is an exciting and rare opportunity to work with a client that is a highly successful and dynamic financial services company who specialise in providing independent financial advice throughout the region. They are a friendly, yet ambitious business who are further expanding their busy team in Taunton.
Experienced within the mortgage profession, we are seeking a Compliance Manager to join them as soon as possible, on a full time, permanent basis based from their Taunton office. Salary is £30,000 - £35,000 dependent on experience, plus benefits.
Whether you are already in a Compliance role and need a change or you are an accomplished Mortgage Advisor seeking a new direction - this could be for you!
The successful candidate will be responsible for:
- Oversee regulatory change management to deliver the right customer outcomes
- To identify business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place.
- Ensure that conduct and regulatory risks are appropriately evaluated
- Provide regulatory and conduct advice to encourage safe growth for the company
- Encourage a positive compliance culture within the business
- To ensure appropriate standards/ procedures are followed by advisers.
- Identifying areas where advisers can improve their standards and associated risk ratings.
- Instruct, coach and monitor individuals, producing reports and individual training/ development plans ensuring all outstanding actions are completed within agreed timescales.
- Ensure suitable and timely escalation of regulatory and conduct risks and issues
- Deal with any issues escalated as a result of file reviews
- Taking ownership of reviewing regulatory requirements to ensure that the company processes remain appropriate
The successful candidate must have
- CeMAP or equivalent
- Excellent working knowledge of FCA principals and regulatory reporting
- Experience of dealing with complaints
- Excellent communication skills
- MS Office
- Commercial focus and the ability to think through consequences and outcomes
- Ability to foresee risk and opportunities
This is a fantastic opportunity to join a growing business and further experiences.
Elite Staffing Solutions are acting as an Employment Agency on this vacancy.
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