Compliance Manager

15 Feb 2017
15 Mar 2017
Contract Type
Full Time

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.