Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance governance and oversee credit aspects in a dynamic financial services environment.
- Company: Join a growing specialist financial services business based in Rotherham, focused on transformation.
- Benefits: Enjoy a competitive salary, 25 days holiday, private medical insurance, and on-site parking.
- Why this job: Be part of a transformative journey while making a real impact in compliance and customer care.
- Qualifications: Must have 3+ years in financial services with strong knowledge of FCA regulations and team leadership experience.
- Other info: This role is perfect for driven leaders looking to shape compliance strategies in the mortgage industry.
The predicted salary is between 57600 - 84000 £ per year.
Job Description
Sewell Wallis are recruiting a Head of Compliance for our client, a specialist financial services business based in Rotherham. This is an exclusive role, based in South Yorkshire. The company are undergoing a period of transformation and growth and is therefore looking for a driven leader of people with an experienced background in compliance and control in an FCA-regulated mortgage industry.
Due to the nature of this business, you will need experience with both lending and brokerage and exposure to mortgages.
The business are family-run, you'll be working closely with the senior leadership team to implement robust internal controls, anti-fraud procedures and ensure the business follow FCA compliance.
What will you be doing?
- Responsibility to lead the design and operationalisation of governance capabilities of the Group.
- Accountable for second line responsibility for all credit aspects of the business, including owning responsible lending policies, affordability calculations, providing oversight of the treatment of vulnerable customers and the effective implementation of collections (including forbearance) policies and processes.
- Ownership of the Group 2nd line compliance monitoring plan using a risk weighted methodology.
- Oversight of the regulatory capital and credit risk retention requirements in line with MIPRU.
- For the oversight of the compliance Framework.
- Take responsibility for group activities as Compliance Oversight.
- Point of contact for all regulatory bodies, including the FCA and the FOS.
- Lead of regulatory change and its impact on business strategy.
What skills do we require?
- At least 3 years' experience operating at a strategic level within compliance for mortgages
- Comprehensive knowledge of Mortgage and other consumer credit products and the mortgage and loan industry.
- A full understanding of FCA regulation, including Consumer Duty and MCOB.
- Previous experience in leading and coaching a team.
What's on offer?
- Salary £90,000 – £100,000
- 25 days holiday (rising with service)
- PMI – vitality
- On-site parking
- Hybrid working
Apply for this role below or contact Inci for more information
To apply please send your CV, quoting our reference and specifying which website you saw this position advertised on. Due to the high volume of applications please accept that if we have not responded to your application within seven days, your application has not been successful. Sewell Wallis is a specialist recruitment company with a vast amount of experience in our industry we offer permanent, temporary and interim recruitment support for accounting and finance, human resources and business support positions. We recruit at all levels within finance from Purchase Ledger Administrator and Credit Controller level through to Financial Controller and Director positions. With offices in Sheffield and Leeds, we are well situated to cover all of South Yorkshire, West Yorkshire and Manchester. Please visit our website for more information on accountancy and finance jobs and human resources or business support positions.
Head of Compliance employer: Sewell Wallis
Contact Detail:
Sewell Wallis Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network with professionals in the financial services sector, especially those with experience in compliance and regulation. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and guidelines, particularly those related to consumer duty and MCOB. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare to discuss your leadership style and experiences in coaching teams during interviews. Highlight specific examples where you've successfully led compliance initiatives or improved governance capabilities in previous roles.
✨Tip Number 4
Research the company’s recent developments and transformation strategies. Understanding their goals will allow you to tailor your discussions and show how your expertise aligns with their vision for growth.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance and control, particularly within the FCA-regulated environment. Emphasise any leadership roles you've held and your familiarity with mortgage and consumer credit products.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the requirements of the Head of Compliance role. Mention your understanding of FCA regulations and how your previous experiences align with the responsibilities outlined in the job description.
Highlight Relevant Achievements: In both your CV and cover letter, include specific examples of how you've successfully led teams or implemented compliance frameworks in past roles. Quantify your achievements where possible to demonstrate your impact.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Sewell Wallis
✨Showcase Your Compliance Knowledge
Make sure to demonstrate your comprehensive understanding of FCA regulations, especially Consumer Duty and MCOB. Prepare examples from your past experience where you successfully navigated compliance challenges in the financial services sector.
✨Highlight Leadership Experience
As a Head of Compliance, you'll be leading a team. Be ready to discuss your previous leadership roles, focusing on how you've coached and developed team members. Share specific instances where your leadership made a positive impact on compliance outcomes.
✨Understand the Business Context
Research the company’s transformation and growth strategy. Be prepared to discuss how your role as Head of Compliance can align with and support these objectives, particularly in relation to responsible lending policies and customer treatment.
✨Prepare for Regulatory Discussions
Since you'll be the point of contact for regulatory bodies, think about potential questions they might ask. Prepare to discuss how you would handle regulatory changes and their implications on business strategy, showcasing your proactive approach to compliance.
