Compliance Advisory Executive - Lending

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  • Salary:

    c. £30,000 + Benefits

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  • Published:

    8 months ago

Working as part of a team assisting the business in delivering appropriate customer outcomes in accordance with the regulatory framework; across all areas of the business including servicing of mortgages and loan. The role involves providing technical support and guidance to the business in relation to policies, procedures and training.

The role would suit an articulate compliance professional with extensive knowledge of financial services regulation across lending.

Key responsibilities include:


  • Work alongside colleagues across the business to provide ongoing advice and guidance on regulatory requirements, and assisting the business in raising operational and service standards through the identification and recommendation of best practices.
  • Ensure that focus on appropriate customer outcomes is embedded in all department processes through controlled sign off of company policies, procedures and letters.
  • Assist in the development of training and reference material and standards & procedures documentation.
  • Attend and contribute to Client service review meetings discussing performance, quality and regulatory change.
  • Maintain, and keep updated, Compliance frameworks, policies and procedures in line with regulatory change or clients’ requirements.
  • Compile compliance reports for both internal and external stakeholders.

The Person:

  • Ideally CeMap qualified or equivalent
  • Detailed knowledge of FCA rules and guidance including MCOB, CONC, CCA, DPA, DISP
  • Three years’ experience working in a financial services regulatory environment