Compliance Manager

Recruiter
Broadgate Search Ltd
Location
Leeds
Posted
12 Jan 2018
Closes
11 Feb 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

My Financial Services Client are currently recruiting for a Compliance Manager

Duties & Responsibilities

To support the business in ensuring it complies with its obligations to regulatory bodies such as the FCA and ICO:

  • To provide technical and compliance support to the business in relation to its equity release and mortgage activities
  • liaising with the business on all new and on-going projects providing compliance guidance and sign off where required
  • to carry out or oversee activities set out in the annual compliance monitoring plan across all business areas
  • Overseeing the day to day financial promotions sign off processes and workload
  • Reporting any issues and/or risks to the Head of Compliance as they arise
  • Producing MI to support all aspects of the work carried out by the Compliance department, including but not limited to the Risk Register, Conduct Risk and Treating Customers Fairly

Essential Qualifications: -

QCF Level 4Diploma

Desirable Qualifications: -

CertificateinMortgageAdviceandPractice(CeMAP)(orMAQ

CertificateinRegulatedEquityRelease(CeRER)

If you would like to understand more about this role then please contact Matt Carter