Our client a financial services short term specialist lender are now looking for a Compliance Manager to initially review, amend and update Compliance Manuals and procedures.
- Submission of application for full regulation in connection with 1 / 2 of the other group companies
- Audit all completed regulated loans on a monthly basis and submit a written report to the Directors in connection with any issues raised
- Audit a set number of non-regulated loans on a monthly basis to ensure compliance with policies and procedures and submit a written report to the Directors in connection with any issues raised
- Provide daily assistance to the underwriters processors and credit controllers in connection with regulatory points
- Responsibility for gathering and maintaining TCF data
- Responsibility for gathering maintaining and submission of data to the FCA
- Responsibility for arranging training for staff and maintenance of training records
- Ensuring that all annual forms and checks are completed e.g. Annual Fit Forms
- Provide a quarterly Report to the board in connection with current and future regulatory issues that need to be dealt with by the group
- Responsibility for signing off advertising and marketing campaigns and maintaining requisite records
- Submitting and ensuring renewal of waivers with the FCA
- Communicating with the FCA (as and when required)
- Be appointed MLRO (at an appropriate point in time)
- Dealing with any complaints and maintaining appropriate records.
- Strong understanding of MCOB regualtions
- Experience with submission of application for full regulation
- Mortgage experience vital
If you have the above experience, please submit your CV for consideration.