Job Description

Compliance Officer

Location:

Doncaster / In person

Salary:

30,000 - 35,000

Hours:

Monday-Thursday 9:00am-5:30pm, Friday 9:00am-3:00pm (40 hours per week)

The Role

We're looking for a Compliance Officer to support the Head of Risk & Compliance in providing oversight and guidance across Believe Advisor and Simply Money. This is an excellent opportunity for someone with experience in mortgage compliance or advisory roles who is ready to take the next step in their career.

Responsibilities

Horizon scanning: keep up to date with upcoming changes to regulations applicable UK legislation, codes of practice, industry guidelines and best practices. Work to help reduce risk to the business and make recommendations to enhance the compliance culture and policies currently in place. Support the Compliance team to help ensure the firms are working within TCF guidelines and adhering to Consumer Duty rules Identify situations that may pose significant compliance and conduct risks and ensure the Senior Compliance Officer and Head of Risk & Compliance are informed T & C Training: Support the Senior Compliance Officer to deliver the Sales process and compliance training and ensure the T & C competency framework is adhered to Regulatory training: Support the Senior Compliance Officer to deliver regulatory training including the annual Code of Conduct training and maintain clear & concise training records. Audits: Carry out an agreed number of sales audits, delivering prompt and clear feedback to the Advisors, Agents and their managers in a timely manner and maintain accurate records of all completed audits & highlight any training requirements. Complaint handling: Handle customer complaints within the FCA timeframes maintaining a clear audit trail and identify root cause and required actions to prevent similar complaints in the future Fraud: Support the Compliance team to ensure staff are fully aware of fraud and money laundering rules through regular feedback and training and ensure that the AML processes in place are followed. Due Diligence: conduct Due diligence checks for the lenders and introducers Undertake day to day ad hoc compliance tasks, such as breach investigations, suspicious activity investigations and reporting to the relevant authorities, lender declines etc Support the Head of Risk & Compliance with collating management information (MI) for the monthly and quarterly reports Support the Compliance team and identify own areas of development, demonstrating good practices and acting as a role model.

Experience

CeMAP qualified, with a minimum of 2 years' experience in an advised sales or compliance role. Excellent communication skills, both written and verbal. Strong attention to detail, with the ability to work independently and manage multiple priorities. Confident in interpreting and applying FCA regulations in a practical way. Motivated to grow within a supportive and professional compliance team.

Salary and Progression

The salary band for this role is 30,000-35,000, depending on experience.
35,000 represents the maximum salary for those who have demonstrated full capability and experience in all aspects of the role. Progression to this level would be achieved over time through proven performance and development.

Benefits

Cash Plan with Westfield Health Access to Free Therapy sessions Cycle to Work Free Tea/Coffee facilities Fresh fruit delivered weekly End of Quarter Events and incentives Progression opportunities Enhanced maternity leave Enhanced paternity leave Flexitime Gym membership On-site parking
Job Type: Full-time

Pay: 30,000.00-35,000.00 per year

Work Location: In person