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:
1. This is a home based role with travel required along the M...