Compliance Officer

We are a well-established financial services organisation and an industry leader in our field of the buy to let mortgage sector based in Fleet, Hampshire. We have been established for over 10 years and are now seeking to recruit a Compliance Officer to join our wider Legal and Compliance team.

The purpose of the role is to be responsible for supporting the delivery of the Compliance Monitoring Plan by carrying out monitoring activities in line with the plan. Agree and monitor actions following the monitoring activity with key stakeholders in the business. Produce Compliance Monitoring reports following the completion of any monitoring assignments. Also, to help protect the business from fraudulent activity and act in a compliant manner at all times in line with regulatory guidelines and our policies and procedures.

The role would suit candidates with relevant compliance related experience gained within the mortgage or financial services sectors who are keen to learn and develop their career with our business. Candidates will need to have some experience in a financial services based compliance role whereby you are involved in thematic reviews or compliance monitoring plans, anti-money laundering processes and procedures and are happy to present to senior members of the business.

Working Monday to Friday 9am – 5pm with a competitive starting salary, we also offer a competitive package of benefits including flexibility to work from home 2 days a week, 11% non-contributory pension, 25 days annual holiday, health insurance, life assurance, income protection, discretionary annual bonus and more.

Working directly in the compliance team, a team of 5 with the wider team being more, you will report into the Compliance lead and after training, be responsible for:

• Carrying out monitoring activities in line with the Compliance Monitoring Plan which will include thematic reviews, regular ongoing monitoring activities and ad-hoc reviews as and when required in light of concerns raised.
• Reporting on progress against the plan and highlighting/escalating any pressing concerns or trends.
• Supporting line management in understanding and how to implement any agreed actions following findings of monitoring activities.
• Monitoring compliance with regulation, legislation, company policies and procedures.
• Providing Compliance training as and when required.
• Ensuring monitoring activities are completed in line with the Compliance Framework and recommended standards.
• Completing conveyancer and other third party audits in line with agreed plan where required.
• Handling internal and external queries and enquiries effectively, accurately, and professionally, delivering excellent service.
• Ensuring records are updated and maintained in accordance with agreed policy and procedures.
• Working to agreed objectives, service standards and deliverables whilst adhering to company and departmental policies and procedures.
• Developing positive working relationships with colleagues and other departments.
• Continually considering improvements for service and efficiency making suggestions on such improvements through agreed channels.
• Applying all aspects of the desired consumer outcomes of Treating the Customer Fairly (TCF) and the Consumer Duty.
• Taking responsibility for your own learning and development.
• Providing ad-hoc support to the wider Legal and Compliance Team as and when required.

To be successful for the Compliance Officer role, you will have held a similar hands-on role which encompasses compliance within the mortgage or other financial services sector. You should have worked under a compliance monitoring plan, be familiar with thematic reviews in terms of planning, reviewing and delivery. You may have worked in a 2nd line compliance function or as part of an audit team.

In return we can offer a generous starting salary plus discretionary annual bonus, a full benefits package and WFH options with the opportunity to learn and progress your career within the business. To be considered for this exciting opportunity please send us your CV asap for immediate consideration.