Compliance and Operations Manager (Mortgages and Protection)

p Job Title /p p Compliance Operations Manager (Mortgage Protection) /p p Reports To /p p Sales Director /p p Role Purpose /p p As the Compliance Operations Manager, you will be responsible for overseeing the compliance, operational and administrative functions of a growing mortgage and protection brokerage. You will ensure the business maintains the highest standards of regulatory compliance while supporting advisers to deliver exceptional customer outcomes. /p p Working closely with the Director, you will lead the day-to-day compliance function, support a team of four Mortgage Advisers, two Protection Advisers and three case handlers, and drive continuous improvement across business operations. /p p Key Responsibilities /p p Compliance /p ul li Ensure the business complies with all FCA regulations, Consumer Duty requirements and internal compliance procedures. /li li Conduct pre- and post-submission file reviews to maintain quality and regulatory standards. /li li Monitor adviser performance against regulatory requirements and internal policies. /li li Maintain the firms compliance registers, policies, procedures and documentation. /li li Oversee complaint handling, vulnerable customer processes and audit recommendations. /li li Liaise with the firms compliance network, principal firm or external compliance consultants. /li li Keep abreast of regulatory changes and implement updates across the business. /li /ul p Operations /p ul li Manage the day-to-day operational and administrative activities of the business. /li li Develop and improve operational processes to increase efficiency and support business growth. /li li Ensure all mortgage and protection cases are processed accurately and within agreed service standards. /li li Monitor workflow and allocate work effectively across the administration team. /li li Support Directors with operational planning, reporting and business performance. /li /ul p Adviser Support /p ul li Provide compliance and technical support to Mortgage Advisers and Protection Advisers. /li li Assist advisers with complex mortgage and protection cases. /li li Ensure applications meet lender requirements before submission. /li li Monitor adviser competence and maintain Training Competence (T C) records where applicable. /li li Promote best practice and continuous improvement across the adviser team. /li /ul p Leadership /p ul li Lead, mentor and develop the administration team. /li li Conduct regular team meetings and provide coaching where required. /li li Foster a culture of compliance, collaboration and exceptional customer service. /li li Identify training needs and support ongoing professional development. /li /ul p Skills Experience /p p Essential /p ul li Significant experience within a mortgage and protection environment. /li li Strong understanding of FCA regulation, Consumer Duty and mortgage compliance. /li li Experience carrying out compliance monitoring and file checking. /li li Excellent knowledge of mortgage and protection administration. /li li Strong organisational and problem-solving skills. /li li Excellent communication and stakeholder management abilities. /li li Ability to manage multiple priorities in a fast-paced environment. /li /ul p Desirable /p ul li Experience managing or mentoring a team. /li li Knowledge of Training Competence (T C) requirements. /li li Experience working within an Appointed Representative or Directly Authorised firm. /li li CeMAP qualification or equivalent financial services qualification. /li /ul p Personal Attributes /p ul li Highly organised and detail-oriented. /li li Proactive with a continuous improvement mindset. /li li Professional, approachable and supportive. /li li Able to work independently while building strong relationships across the business. /li li Committed to delivering positive customer outcomes and maintaining high regulatory standards. /li /ul p Success Measures /p p The successful candidate will: /p ul li Maintain a robust compliance framework with excellent audit outcomes. /li li Ensure advisers consistently meet regulatory and quality standards. /li li Improve operational efficiency and administrative performance. /li li Support the continued growth of the business through effective leadership and process improvement. /li li Help create a culture of compliance, professionalism and outstanding customer service. /li /ul p Salary c£50,000 depending on experience /p