Regional Compliance Manager

We are working with a highly reputable mortgage network that are looking to appoint two field based Compliance Managers tasked with proactively monitoring network firms and advisers to identify risks.

You will be tasked with:

• Conducting field visits, which will included risk-based monitoring to ensure that network members comply with FCA requirements and rules in respect of mortgage and non-investment insurance business
• Acting as supervisor within the Training & Competence scheme
• Providing advice and guidance to network members in response to enquiries received
• Instructing, coaching and monitoring individuals, producing reports and individual training/development plans

Experienced Needed:

• 2+ years of experience in a similar role within the financial services sector
• A sound background in compliance monitoring, risk management and reporting processes
• Knowledge of systems of control and able to follow clearly defined procedures
• Experience of working under pressure, prioritising and working to tight deadlines

Qualifications:

• CeMAP or equivalent professional financial services qualification as a minimum
• CeRER desirable
• A full UK driving licence is essential

Impotant Information:

• This is a home based role with travel required along the M4 corridor (as far West as Swindon and into West London)
• Typically 1-2 visits each week
• Car allowance provided