Regulatory Recruitment Officer - DERBY

Mortgage Advice Bureau (MAB) are a nationally recognised mortgage broker and network, winners of over 150 awards in the past 5 years and continually growing.

Job description

As part of the Regulatory Recruitment team you will be responsible for ensuring that all Advisers, Appointed Representatives and Introducers joining the business are fit and proper. You will act as gatekeeper to mitigate risk to the business, guaranteeing that all are recruited in accordance with our T&Cs scheme.


  • Liaise with key stakeholders (Business Owners, Regional Managers, Applicants) on regulatory requirement matters
  • Conducting internal and external searches on all applicants
  • Evaluating all applications to minimise and manage the risks associated with each
  • Answer any questions from applicants in a direct and friendly manner
  • Representing the company with a positive attitude and professional appearance
  • Carrying out all necessary refencing for all applicants
  • Executing due diligence activities for all advisers
  • Management of agency numbers and adviser trading documents
  • Ongoing management of adviser agency details - processing transfers/changes in licencing authority/lender authorisations
  • Maintaining accurate adviser & business records internally and with providers throughout the adviser/business appointment
  • Perform other administrative duties such as filing, photocopying, etc.

Skills and Requirements

  • Strong attention to detail
  • Tenacious and inquisitive
  • Ability to work to targets and tight deadlines
  • Excellent communication and relationship building skills
  • Dynamic, solution oriented approach
  • Proficient with Microsoft Office Suite
  • Professional appearance
  • Ability to be resourceful and proactive in dealing with issues that may arise
  • Strong organisational skills and able to work under pressure
  • GCSE’s grade C or above
  • Experience in a similar role would be desirable but not essential

In return, we offer a great working environment with a competitive salary, and a range of competitive benefits. MAB would look to further develop your career by offering training and mentoring programs.

Required skills

  • Compliance
  • Customer Care

Application question

Do you have any compliance recruitment experience?

Reference: 41868462

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