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Compliance Manager

KFS Recruitment
Closing date
6 May 2021

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Job Details

Compliance Manager - Mortgages


We are looking for a Compliance expert who can set up and lead our Compliance/AML function, which includes over seeing the Mortgage Advisors. This is an excellent opportunity for a talented and highly motivated professional to take a leading role in a start-up business.

As a key member of the Team, you will be responsible for leading a compliance and conduct risk function. We believe this is an exciting opportunity for someone who is motivated to take on responsibility, who has the confidence and ability to tread new ground and looks to hold a leadership position within a fast-growing business.

The Role
  • Provide compliance leadership and guidance, as independent second line regulatory and conduct advice, oversight and assurance for the firm.
  • Ensure regulatory updates are issued in a timely manner
  • Identify situations that may pose significant compliance and conduct risks, ensure the compliance department guides management in the development/reviewing of applicable policies etc
  • Provide oversight and advice on the Mortgage Advisors training and competency framework and undertake competency checks
  • Undertake day to day compliance tasks: maintain compliance policies, procedures, reporting, liaising with external authorities, prepare and conduct on-going compliance reviews as per the annual compliance review plan and complaints handling oversight
  • Provide compliance sign off on customer documentation, marketing and financial promotions
  • Oversee KYC/CDD and AML/CTF checks
  • Support the Money Laundering Reporting Officer in their responsibilities, including submission of an annual MLRO Report to the board.
  • Ensuring staff awareness of money laundering rules through appropriate training and ensuring that AML processes are in place
  • Receiving, investigating and reporting on Suspicious Activity Reports
  • Provide regulatory training to relevant staff on regulatory and legislative requirements and the maintenance of training records

  • Knowledge of the non-bank lending and specialist mortgage/lending markets, infrastructure and applicable standards and regulations
  • 7+ years' experience as a subject matter expert for regulatory compliance within a retail banking / financial services mortgage environment
  • In depth technical knowledge and practical experience of FCA requirements and standards especially MCOB, Mortgage Advisor frameworks
  • Calm and diplomatic, with strong negotiation and influencing skills
  • Understand how to control risk and use appropriate monitoring system
  • Excellent oral and written communication skills
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