Compliance Manager

Robert Walters
10 Jan 2018
15 Feb 2018
Contract Type
Full Time

Robert Walters is currently seeking a Compliance Manager to join a growing Financial Services business based in Wolverhampton, West Midlands. You will deliver a high quality monitoring programme, and provide advice and guidance to the business in relation to new and existing regulation.

Reporting in to the Senior Compliance Manager, you will ensure that you understand, maintain an awareness of and comply with regulatory requirements, risk management policies and behave in a competent and ethical manner in line with workplace culture, values and 'Treating Customers Fairly' principles.

Key Responsibilities:

  • Understand and comply with the organisation's risk management and other policies as they relate to your area of responsibility and demonstrate putting customers at the heart of everything you do
  • Support the development of the compliance culture of the organisation by ensuring the servicing and origination platforms policies meet with financial regulation
  • Support development of the clients compliance policy manual and support policy and procedures
  • Assist in the design, implementation and maintenance of an annual compliance monitoring programme
  • Monitor and report on the business' compliance with financial regulation

The Compliance Manager will ideally be CeMap certified and have experience of regulatory and legislative requirements associated with originating and servicing mortgage assets. You will have strong knowledge of MCOB and BCOB and conduct of business. You will have experience of horizon scanning and updates on regulatory matters, experience of impact/gap analysis on regulatory change and experience of implementation of regulatory change or advising the business on the impact of cnahges it wishes to make. Ideally you will be experienced around secured loans and embedding the principle of Treating Customers Fairly into operational areas. You will have up to date knowledge of relevant PRA and FCA requirements and regulatory framework and CCA requirements.

This is an excellent opportunity in The West Midlands. Please apply now, or for further information, please contact Kayte Short at