Compliance Officer

Huntswood CTC Ltd
London (Greater)
16 May 2018
15 Jun 2018
Contract Type
Full Time

Compliance Officer

Location - London

Salary - Up to £40k

High calibre Compliance Officer is required for a leading mortgage company to provide advice on all FCA regulatory guidelines that are applicable to the firms' activities. Working as part of a team you will assist in managing regulatory risk ensuring compliance at all times against industry standards and internal policies.


  • Respond to requests for compliance advice from the group's different business units as necessary.
  • Manage the team mailbox which receives all requests for compliance advice and ensuring all items are logged and the advice given is recorded.
  • Reviewing proposed financial promotions and providing Compliance sign off for their use.
  • Supporting other members of the Compliance team in relation to business change initiatives, projects, and in assessing proposals for new regulation.
  • Supporting the co-ordination and preparation of conduct MI for inclusion in compliance reporting including identification of out of appetite risks and analysis of trends.
  • Reviewing breaches logs to ensure regulatory breaches have been appropriately identified and recorded, that timely remedial action is being taken.
  • Support in the development of compliance training material to educate the business on key regulatory requirement
  • Supporting in the preparation of Approved Person applications
  • Maintaining records of correspondence and meetings with the FCA so that items can be retrieved as necessary

Skills and Experience - not all essential

  • Working knowledge and understanding of relevant legislation, regulations, policies and codes governing the mortgage and secured loans industry including MCOB, ICOBS, SYSC, SUP, DISP and EU MCD.
  • Relevant compliance / regulatory experience in the financial services sector preferably including interpretation of regulation within the mortgage industry and the implementation of solutions to address mortgage regulatory requirements and challenges.
  • Strong sense of accountability reflected in a willingness to take responsibility for tasks and the ability see tasks through to completion.
  • Highest levels of honesty, integrity and embraces the philosophy of treating customers fairly
  • Preferably educated to degree level with relevant industry qualifications an advantage e.g. CeMAP, ICA Certificate and/or Diploma.

This Compliance Officer role comes with extensive benefits package and excellent career progression opportunities. If you have the skills and experience needed, please apply immediately with an up to date CV.

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