Compliance Officer - Manchester

Coast Specialist Recruitment
09 Feb 2017
09 Mar 2017
Contract Type
Full Time

A lender based just outside of Manchester has an excellent opportunity for a Compliance Monitoring Officer to ensure compliance in the network of Brokers that they work with.

This is an exciting new position working within a busy Lending operation. This role would suit an experienced compliance professional, with knowledge of the mortgage market.

Main Duties:

  • To assist the Head of Compliance Monitoring in the design and development of the intermediary/broker monitoring plan
  • Produce and maintain effective management information relevant to the intermediary/broker monitoring plan
  • To manage the intermediary/broker monitoring plan
  • To conduct desk based reviews of intermediaries/brokers by listening to calls, reviewing applications and other documentation
  • To conduct site visits to assess adherence to policies and procedures, culture and risk management
  • To monitor and compile management reports on the findings of the reviews in line with the intermediary/broker monitoring methodology
  • Keep up to date with relevant regulatory developments,
  • Compile ad-hoc reports to support the Compliance Monitoring function and business areas


  • Experience in a similar Compliance/Audit role
  • Full clean driving licence
  • Flexibility to travel and occasional overnight stays
  • Computer literate ( including MS Excel and Word)
  • Communication (written and verbal)
  • Interpersonal (influencing and negotiating) skills
  • Verbal and numerical reasoning
  • Problem solving
  • Organisational, time and resource management
  • Attention to detail
  • An understanding of the relationships and responsibilities of intermediaries and lenders
  • Experience in lender/broker relationship management/monitoring
  • Working knowledge of FCA and relevant regulation
  • Experience of advised sales/mortgages and secured loans
  • Experience of working with senior stakeholders
  • Strong analytical and technical skills
  • Full CeMAP or equivalent 'appropriate' qualification (preferable)

If you would like to apply for this vacancy, please contact Ella Britton