Compliance Officer

  • Location


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  • Salary:

    £25,000 - £30,000

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  • Published:

    about 2 years ago

• Carrying out monitoring tasks as detailed in the annual Compliance Monitoring Plan to the prescribed format and timelines
• Providing support and assurance as required to the Compliance Manager in maintaining the second line of defence over business activities
• Carrying out second line quality assurance reviews and communicating any non-compliance, risk and improper conduct to the Compliance Manager
• Assisting in the resolution of compliance and/or quality assurance problems to completion with the relevant business area
• Supporting the Compliance Manager in monitoring and managing internal data protection activities including oversight of processes for complying with Data Subject Rights requests and data breaches
• Undertaking verbal and written communication with regulators, auditors, lawyers and other third parties under the direction of the Compliance Manager
• Conducting monthly, quarterly and annual Compliance activities to the required standards 
• Maintaining accurate record keeping 
• Providing technical Compliance advice to the business under the guidance of the Compliance Manager
• Any other duties required to fulfil the requirements of the role
• Up to date knowledge of FCA regulation and all other relevant regulations, specifically Conduct Risk, Treating Customer Fairly, MCOB, DISP, SUP and GDPR/DPA requirements
• Experience in a mortgage compliance function with good understanding of the mortgage process.
• Able to interpret regulation and legislation requirements in a company business context
• Proven ability to exercise professional judgement and the ability to focus on critical factors to complex situations
• Be able to take a holistic view of business or compliance issues to ensure that the impact, or unintended consequences (including conduct risks), are identified and understood
• Holding an ICA or CeMAP qualification would be ideal
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.