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- Tasks: Join our compliance team to ensure business assurance in mortgages and wealth management.
- Company: Be part of a leading financial services provider in the heart of London.
- Benefits: Enjoy a competitive salary, excellent bonuses, and a flexible benefits package.
- Why this job: This role offers genuine career progression in a thriving business with a supportive culture.
- Qualifications: Proven experience in mortgage compliance and relevant qualifications like CeMAP or equivalent required.
- Other info: Opportunity to handle diverse compliance queries and complaints in a dynamic environment.
The predicted salary is between 48000 - 60000 £ per year.
Are you interested in working for a leading financial services provider based in the City of London? An excellent opportunity is available for an experienced Compliance Manager to join the compliance team, ensuring that the business assurance / compliance is maintained in areas of regulated and non-regulated property finance advice (mortgages, BTL, Bridging Finance, HNW, Self Build) and Wealth Management (Pensions / Investments).
Candidates must have proven experience in a dedicated mortgage compliance role including areas such as Anti Money Laundering, Fraud Prevention and Consumer Duty. This is a great opportunity to join a thriving business offering genuine career progression.
- Compliance of regulated and non-regulated mortgage contracts.
- Provide face-to-face or telephone feedback where appropriate.
- Assisting with general compliance queries.
- Auditing of Adviser files for Regulated Mortgages, Non Regulated Mortgages, Life Insurance, General Insurance and Wealth Management files.
- Production of Compliance Audit Reports regarding the audits conducted.
- Complaints Handling (from investigation through to conclusion).
- Dealing with adhoc KYC/CDD Queries including possible sanction matches.
Must possess the relevant qualifications for the business areas involved in e.g. mortgages (CeMAP or equivalent), protection (RO5), Wealth Management (QCF Level 4 qualified). Must have in-depth experience in mortgage compliance. Must have adequate knowledge of Fraud Prevention, Anti-Money Laundering & Consumer Due Diligence regulations. Must have experience of handling complaints process.
40k - £75k basic (Dependent on experience) + Excellent Bonus + Flexible Benefits Package
Compliance Manager/Senior Manager employer: Pure Resourcing Limited
Contact Detail:
Pure Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager/Senior Manager
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in mortgage compliance.
✨Tip Number 2
Stay updated on the latest regulations and compliance standards related to mortgages and wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare for potential interview scenarios by practising how you would handle specific compliance challenges, such as dealing with complaints or conducting audits. This will showcase your problem-solving skills and expertise.
✨Tip Number 4
Research StudySmarter's values and culture to align your responses during interviews. Showing that you understand and resonate with our mission can set you apart from other candidates.
We think you need these skills to ace Compliance Manager/Senior Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in mortgage compliance, particularly in areas like Anti Money Laundering and Fraud Prevention. Use specific examples to demonstrate your expertise and achievements in these areas.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your qualifications, such as CeMAP or equivalent, align with the job requirements. Be sure to include your understanding of the compliance landscape in mortgages and wealth management.
Showcase Relevant Experience: When detailing your work history, focus on roles where you managed compliance processes, handled complaints, or conducted audits. Use metrics to quantify your impact, such as the number of audits completed or improvements made in compliance standards.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Pure Resourcing Limited
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of key compliance areas such as Anti Money Laundering, Fraud Prevention, and Consumer Duty. Prepare specific examples from your past experience that demonstrate your expertise in these areas.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance situations. Think about how you would handle various scenarios, such as a potential fraud case or a complex complaint, and be ready to discuss your thought process.
✨Demonstrate Your Communication Skills
As a Compliance Manager, you'll need to communicate effectively with various stakeholders. Practice articulating your thoughts clearly and confidently, whether discussing compliance audits or providing feedback on adviser files.
✨Research the Company and Its Values
Familiarise yourself with the company's mission, values, and recent developments in the financial services sector. This will not only help you tailor your answers but also show your genuine interest in the role and the organisation.
