Field Compliance Manager

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  • Discipline:

    Compliance, Risk Management

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  • Published:

    almost 2 years ago

UK wide, and well known firm within the mortgages sector are looking to hire a Field Compliance Manager to join an established and growing regulatory compliance team.  The role holder will be responsible for managing a number of Advisors within a geographical area, being the main point of contact for Advisors for any and all issues relating to regulation & compliance.  The typical working week will be a split of 3 days working from home, and 2 days meeting with advisors.  The role holder can be located in any location across the Midlands or North of England.



  • Ensure that there is a consistent approach to compliance and regulatory policy
  • Work closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly
  • Use observation skills to identify areas of concern or development need of Advisors and address promptly putting development plans in place where needed
  • Effectively supervise Advisors within your span of control    
  • Proactively contribute to the wider compliance teams to improve processes and procedures to drive efficiency
  • Complete regular reviews of AR firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person
  • Complete follow up where required to ensure action points have been completed within timescales and provide guidance and assistance where needed
  • Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary
  • Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.)
  • Audit of new ARs when required ensuring that all activity & documentation meet the necessary standard
  • Effectively contribute to regular FCM meetings
  • Ensure adherence to the T&C scheme at all times, at all levels
  • Ensure all relevant regulatory knowledge is kept up to date

Experience Required:

  • CeMAP qualification
  • Experience working with mortgage advisers / appointed representatives
  • Ability to communicate at all levels with professionalism and integrity
  • Motivational qualities to motivate the Advisors to strive for success
  • Effective time management of self to drive efficiencies
  • Able to demonstrate building effective relationships with key stakeholders
  • Able to demonstrate good problem-solving skills, plan effective contingencies and solutions


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.