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- Tasks: Lead the compliance team, ensuring adherence to regulatory standards and enhancing client outcomes.
- Company: Join Mortgage Intelligence Holdings, a leader in financial services focused on compliance and customer satisfaction.
- Benefits: Enjoy opportunities for personal development, team training, and a supportive work environment.
- Why this job: Make a real impact in compliance while working with a dynamic team and contributing to customer success.
- Qualifications: Experience in compliance within financial services, strong leadership skills, and knowledge of relevant regulations required.
- Other info: This role offers a chance to grow your career in a fast-paced, evolving industry.
The predicted salary is between 43200 - 72000 £ per year.
To closely support the Head of Compliance in providing assurance to Mortgage Intelligence Holdings (MIH) that we, and our Appointed Representatives (ARs), adhere to the required regulatory standards set by the Financial Conduct Authority (FCA) and deliver good outcomes for our customers. The role will report directly into the Head of Compliance and will involve the day to day management of the compliance team.
Key Responsibilities:
- Oversee the operation of the Compliance Team, providing guidance and instruction to the team through proactive decision making.
- Carry out people management duties for direct reports, including regular 1:1's, appraisals and team meetings.
- Support the provision of relevant training and development of the Compliance Team.
- Provide the Head of Compliance with regular support on all compliance related matters and deputise as required.
- Proactively consider opportunities to enhance client outcomes within MIH, assisting in the ongoing development of the compliance function and control frameworks.
- Produce and analyse management information to identify areas of customer and business risk.
- Manage and provide advice relating to the remediation of risk events and/or compliance breaches.
- Lead on relevant compliance related 2nd/3rd line audit work and ensure any actions are implemented within agreed timescales.
- Prepare regular, timely and relevant reports for the Board and other Committees, including recommendations for addressing any weaknesses identified across the business.
- Contribute towards the networks ongoing Consumer Duty obligations, considering these in all actions and decisions that are taken.
- Work closely with key business areas and stakeholders across the business, in particular the Network Quality Manager and Head of Business Assurance Managers, to implement MIH's agreed approach to compliance related matters.
- Regularly attend and contribute to a range of internal and external meetings on compliance related matters.
- Provide the Head of Compliance with regular updates on key risks and emerging issues from within the Compliance Team.
- Maintain a good industry and technical compliance knowledge, assuming responsibility for own personal development.
- Carry out ad hoc tasks as may be delegated to you by the Head of Compliance, as required by the business.
Key Skills and Experience:
- Strong relevant experience of Compliance roles within the financial services industry (ideally intermediary mortgage and insurance firms but other similar experience could be considered).
- Experience of managing, motivating and developing teams.
- Proactive and willing to take responsibility for improving efficiency and accountability within the team.
- Strong understanding of MCOB, ICOBS, DISP, data protection and money laundering regulations, and of associated regulatory expectations.
- Ability to make decisions regarding the severity of issues and implement appropriate actions to mitigate them.
- Ability to identify root causes and define and shape appropriate improvement plans.
- Ability to lead by example in order to create an effective working environment.
- Excellent written and verbal communication skills, to enable clear and insightful reporting to senior management.
Compliance Manager employer: Mortgage Intelligence
Contact Detail:
Mortgage Intelligence Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in financial services. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the specific regulatory standards set by the Financial Conduct Authority (FCA). Understanding these regulations deeply will not only help you in interviews but also demonstrate your commitment to compliance excellence.
✨Tip Number 3
Prepare to discuss your experience in managing and developing teams. Think of specific examples where you've successfully motivated your team or improved efficiency, as this is a key aspect of the Compliance Manager role.
✨Tip Number 4
Stay updated on current compliance issues and trends within the mortgage and insurance sectors. Being knowledgeable about recent developments will allow you to engage in meaningful conversations during interviews and showcase your proactive approach.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance roles, particularly within the financial services industry. Emphasise your skills in managing teams and your understanding of regulatory standards like MCOB and ICOBS.
Craft a Compelling Cover Letter: In your cover letter, address how your background aligns with the responsibilities of the Compliance Manager role. Mention specific examples of how you've improved compliance processes or managed teams effectively.
Showcase Your Communication Skills: Since excellent written and verbal communication is crucial for this role, ensure that your application materials are well-structured and free of errors. Use clear language to convey your ideas and experiences.
Highlight Continuous Learning: Mention any ongoing professional development or training related to compliance. This shows your commitment to staying updated on industry regulations and best practices, which is essential for the role.
How to prepare for a job interview at Mortgage Intelligence
✨Showcase Your Compliance Knowledge
Make sure to brush up on your understanding of MCOB, ICOBS, DISP, and other relevant regulations. Be prepared to discuss how these regulations impact the role and how you can ensure adherence within the team.
✨Demonstrate Leadership Skills
Since the role involves managing a compliance team, be ready to share examples of how you've successfully led teams in the past. Highlight your experience in motivating and developing team members, as well as any specific strategies you've used to improve team performance.
✨Prepare for Scenario-Based Questions
Expect questions that assess your decision-making skills regarding compliance issues. Think of scenarios where you've had to identify root causes of compliance breaches and how you implemented improvement plans. This will show your proactive approach to compliance management.
✨Communicate Clearly and Effectively
As excellent communication skills are crucial for this role, practice articulating your thoughts clearly. Be prepared to explain complex compliance matters in a way that is understandable to senior management and stakeholders, showcasing your ability to report insights effectively.
