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Compliance Monitoring Officer

Posted 5 February by Countrywide Featured Ended



COMPLIANCE MONITORING OFFICER

An experienced mortgage professional is required to join an expanding team, to provide compliance services to a variety of differing business models.

JOB SUMMARY

Supporting the Countrywide Group in monitoring and advising a start up on-line Company, as well as more traditional Estate Agency based and Network advice models.You must be able to conduct audits, as well as providing advice and guidance, in a positive and constructive manner, to different styles of advisor functions.


KEY RESPONSIBILITIES

  • Provide compliance and supervision support to a new start up digital broker based in Hammersmith
  • Assist in the development and delivery of the Compliance Monitoring Programme in line with FS Compliance Monitoring Plan.
  • Conducting compliance monitoring visits/audits in line with the Compliance Monitoring Programme, preparing detailed reports on findings and making recommendations for remedial action.
  • Impartially conduct and assist in the investigation process into acts or allegations of misconduct or fraud, reporting findings to Senior Management
  • Provide advice and guidance on regulatory and legislative issues as required
  • Work proactively with Sales Management to resolve field compliance operational issues and queries
  • Maintaining a close working relationship with colleagues within the FS Compliance team, sharing best practice and emerging trends of a conduct or operational nature
  • Monitor quality MI to assess and identify potential trends in relation to conduct or consumer risks
  • Maintain accurate records of contact activity, highlighting possible emerging trends and issues of a compliance or poor consumer outcome nature
  • As required, support projects as a Compliance Subject Matter Expert

KNOWLEDGE AND EXPERIENCE

  • Full CEMAP or equivalent
  • Experience and proven track record of working within mortgage based financial services and/or FCA compliance environment.
  • Experience of audit or monitoring activity, including report writing and unbiased investigative skills
  • Good knowledge of FCA regulatory compliance in a Mortgage/Insurance arena
  • Familiarity and experience with referring to FCA handbook for seeking clarity of rules and interpretation into operational advice practices
  • Commercially minded whilst understanding the acceptable standards to keep customers safe and an operation compliant

KEY SKILLS

  • Ability to prioritise own work load is essential
  • Good written communication skills are essential
  • Investigative skills and ability to identify root causes
  • Attention to detail
  • Ability to communicate at all levels, with authority, confidence and credibility
  • Ability to stand firm in delivering the right compliance messaging, escalating matters to management for decisive action if required.
  • A keen interest in exploring and shaping technological advancements in a new robo-advice proposition, so therefore IT literate
  • Confident communicator and ability to influence

Please note that this role will require travel, therefore a full driving licence is required.

BENEFITS

  • Very competitive Salary
  • Company Car
  • Life Assurance
  • Private Medical Entitlement
  • Pension

Reference: 34401890

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