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Compliance Manager

Mywork Agency
Closing date
21 Sep 2021

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Contract Type
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This is a remote position.
Compliance Manager


£40,000 - £50,000
My innovative client is an established start up within their niche, employing circa 160 people across the UK.
As an innovative disruptor within financial services, my client has built a bespoke - cutting edge platform, which enables their mortgage brokers to work efficiently and at a high volume - with an endless flow of direct online leads.
The market leading platform has enhanced the businesses performance, as a result consistent growth is up month to month - which has enabled organic growth.

As a result, my client is actively seeking an experienced Compliance Manager to manage compliance within my clients expanding mortgage and protection team.
The preferred applicant will have experience of working within a regulated business - ideally mortgages and firm wide compliance initiatives and has technical knowledge across a wide range of compliance areas - like compliance monitoring, conduct risk, TCF, SMCR and FCA reporting.

  • You will grow and implement my clients compliance strategy and framework
  • Be responsible for the oversight as the 1st line of defence and own the 2nd line of my clients defence compliance controls.
  • Set and deliver against the Compliance Monitoring Plan (CMP), constantly reviewing outputs and adapting the CMP based on findings and risks associated.
  • Lead, review and submit our regulatory reporting.
  • Monitor, report and challenge the effectiveness of compliance controls, including incidents and issues that are raised so they can be appropriately managed.
  • Give technical advice and guidance to the wider teams, using your excellent communication and interpersonal skills
  • Ensure the business's compliance takes a commercial and practical approach to risk-based challenges and offer appropriate solutions.
  • Contributing and leading the reporting of compliance activity and management information at our Risk & Compliance committees.
  • Keeping on top of industry and regulatory trends

  • Conducting research and analysis to ensure the team are compliant with regulations across the business
  • Conducting investigations to discover the root cause of compliance problems when they arise
  • Performing research to stay informed about environmental standards
  • Educating the team on how to improve compliance
  • Examining and improving auditing processes to resolve compliance issues fast or prevent them entirely
  • Addressing any concerns that they may have about ethical and compliance matters within the business
  • Motivating employees to not only strive to meet compliance standards, but also to exceed them for operating efficiency
  • ?Leading and helping in the design of process and products that improve compliance

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