Compliance Officer

D&R Partners Recruitment Limited
Cardiff, UK
Closing date
27 Oct 2020

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Contract Type
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Compliance Officer - Mortgages

£27,000 - £30,000


Office Hours

Our client is an award-winning financial services company specialising in providing private and commercial finance solutions. An opportunity has become available for a Compliance Officer to join the compliance department.


·You will be expected to adhere to and complete monitoring and operational tasks as set out in the Department's Compliance Monitoring Plan.

·Auditing of Adviser files for Regulated Mortgages, Non Regulated Mortgages, Pure Protection, General Insurance and Wealth Management files.

·Provide face-to-face feedback where appropriate.

·Production of Compliance Audit Reports regarding the audits conducted.

·Complaints Handling (from investigation through to conclusion).

·Production of Management Information.

·Financial Crime / NCA reporting (from investigation through to conclusion).

·Adviser Recruitment Checks / Referencing.

·Projects and Ad hoc investigations as per the Compliance Monitoring Plan.

·Updating and issuing Adviser Permitted Activities sheets.

·Collation of Annual signed declarations and completion of credit checks.

·Responding to data protection requests.

·Approval of standard documents and Financial Promotions.

·Assisting the Compliance Officer with updating of departmental and company policies and procedures.

Experience required:

·At least 18 months experience in similar mortgage compliance role

·QCF Level Four qualification.

·Experience in auditing and communicating back to Advisers and follow up work.

·Mortgage compliance experience essential, General Insurance experience preferred but training can be provided.

·Must have adequate knowledge of FCA regulations.

·Must have excellent interpersonal and communication skills.
Must be able to work as part of a team and individually.

·Meticulous and great attention to detail

If you are interested in this position and feel you have the experience and attributes for this role then please apply now and Rico Iheagwara will contact you shortly,
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