Job Locations
UK-Solihull
Job Profile
Compliance Manager – Risk & Compliance
Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions.
We are keen to recruit a Compliance Manager (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSL’s Financial Services Division.
This role presents an exciting opportunity for a highly experienced Compliance professional to contribute to the success of our Financial Services Division The successful candidate will support the management of regulatory risk within the FS Division Risk & Compliance team, to deliver against key risk and regulatory objectives that ensure the Division meets compliance within regulatory and legal requirements.
The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid) We estimate no more than 1 – 2 days per week in the office.
Main accountabilities:
1. Horizon scanning and regulatory awareness – oversee horizon scanning activities to identify and escalate new and emerging regulatory and legal requirements applicable to the FS Division, ensuring the business remains informed and compliant
2. Stakeholder communication – communicate regulatory changes, their implications, and recommended actions clearly and effectively to key business stakeholders
3. Business Partnering and stakeholder support – Partner with business functions to embed compliance into their operations, fostering a culture of accountability and collaboration across the business.
4. Regulatory expertise and interpretation – act as the Subject Matter Expert (SME) on FCA regulatory and legal requirements, providing practical and understandable guidance to ensure compliance and alignment with business objectives
5. Strategic advice and challenge – provide advice, guidance and constructive challenge on complex regulatory changes, business initiatives, and internal projects to drive informed decision-making
6. Regulatory and committee engagement – Support the Head of and Chief Risk Officer (CRO) in timely and accurate interactions with regulators. Prepare and deliver committee reporting, ensuring accuracy and relevance and represent the 2nd Line at committee meetings when required.
7. Regulatory reporting oversight – manage the completion and submission of all regulatory reporting, ensuring accuracy and compliance with deadlines.
8. SM&CR Governance – oversee the Senior Managers and Certification Regime (SM&CR) application processes, providing expert advice and guidance on associated governance and compliance requirements.
9. Support for Appointed Representatives – oversee and ensure the delivery of exceptional support to appointed representatives via the compliance inbox and inbound calls, contributing to the business’s vision.
10. Hygiene Factors – accountable for the development, implementation and compliance of critical business areas including conflict of interest, anti-bribery and corruption, whistleblowing, and where applicable fraud and AML risk assessments
Knowledge & Expertise:
11. Strong technical knowledge of the FCA Handbook and the regulatory framework governing mortgage, protection, and insurance market. In particular, the Appointed Representative Regime, Approved Persons, Consumer Duty and SM&CR.
12. A good understanding of other industry rules relevant to the Network model, for example, GDPR
13. Excellent communication skills (verbal and written). Be able to speak as a SME on all regulatory topics to the first line on regulatory matters
14. Ability to apply professional judgement and experience to interpretation of complex regulation while being conscientious to applicable business models and objectives
15. Strong analytical and problem-solving skills, with a pragmatic approach to risk and regulatory interpretation
16. Be able to engage with confidence and exert strong influence at all levels of the business
17. Ability to build strong relationships, overcome objections, negotiate, liaise, and gain agreement at all levels of the business
18. Knowledge and understanding of the risks inherent in a Network business model – desirable
19. Has achieved an industry recognised professional compliance qualification, for example, ICA Diploma in Governance, Risk & Compliance is preferable.
20. 5+ years Financial Services experience, ideally in second line roles
21. Experience of interpretation and providing advice and challenge to first line business stakeholders
22. Ideally achieved the Certificate in Mortgage Advice and Practice (CeMAP) or alternative industry recognised qualification.
Salary - £60,000 - £65,000 DOE plus plc linked benefits
Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office.
Internal LSL group candidates must discuss with their immediate line manager in the first instance.
If you are interested in applying for this position, please forward your CV with covering letter in confidence to