Senior Compliance Monitoring Officer
Senior Compliance Monitoring Officer
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Senior Compliance Monitoring Officer Risk & Compliance
Part of LSL Property Services plc PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions.
We are keen to recruit a Senior Compliance Monitoring Officer (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSLs Financial Services Division.
This role presents an exciting opportunity for an experienced 2nd line Compliance Monitoring and Testing professional to contribute to the success of our Financial Services Division by undertaking and completing compliance monitoring reviews including thematic and deskbased periodic reviews of the Networks systems and controls and provide assurance to the business and senior management..
The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid) We estimate no more than 1 2 days per week in the office.
Main accountabilities:
- Conduct comprehensive compliance monitoring reviews plan execute and complete compliance monitoring reviews including thematic and deskbased reviews ensuring a thorough and effective approach from planning to finalisation
- Maintain robust evidence and recordkeeping standards gather and document all relevant evidence during testing to support findings and conclusions ensuring records are complete accurate and transparent
- Deliver high quality reporting prepare and communicate detailed wellconsidered findings from compliance monitoring activities both verbally and in writing ensuring reports are comprehensive and insightful.
- Monitor and support remedial action track progress of remedial actions providing clear reporting to stakeholders and offering guidance to management on implementing effective and sustainable improvements
- Support risk assessments and monitoring plan developments assist in conducting robust compliance risk assessments and contribute to the creation of a proportionate riskbased annual monitoring plan that aligns business objectives and regulatory requirements
- Collaborate on monitoring plan work with the Head of to design develop and track progress against the compliance monitoring plan ensuring timely delivery of key activities
- Deliver outstanding stakeholder support provide exceptional customer support to appointed representatives via the compliance inbox and inbound calls contributing to the business vision and customer satisfaction goals.
- Undertake additional responsibilities perform other compliancerelated tasks or adhoc projects as required contributing flexibly to the teams objectives and broader organisational priorities
Knowledge & Expertise:
- Experience in compliance monitoring and testing within the financial services industry
- Strong understanding of regulatory requirements in particular MCOB ICOBS PRIN SYSC SUP PROD etc
- Extensive knowledge of the FCAs Consumer Duty and AR Regime.
- Expertise in developing riskbased monitoring plans and testing methodologies
- Strong analytical and critical thinking skills to identify gaps and issues
- Keen attention to detail and adherence to procedures
- Effective communication both written and verbal for reporting findings and recommendations
- Be able to engage with confidence and exert strong influence at all levels of the business
- Ability to build strong relationships overcome objections negotiate liaise and gain agreement at all levels of the business
Requirements:
- 5 years Financial Services experience in second line roles
- Experience of compliance monitoring and / or control testing
- Achieved the Certificate in Mortgage Advice and Practice (CeMAP) or equivalent as a minimum
- Knowledge and understanding of the risks inherent in a Network business model desirable
- Has achieved an industry recognised professional compliance qualification for example ICA Diploma in Governance Risk & Compliance is preferable.
SalaryDOE plus plc linked benefits
Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office.
Internal LSL group candidates must discuss with their immediate line manager in the first instance.
If you are interested in applying for this position please forward your CV with covering letter in confidence to of the in house recruitment function here at PRIMIS / LSL
We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs if you require any adjustments to make the recruitment process easier please let us know.
LSL are dedicated to protecting your data our Recruitment Privacy Notice can be viewed on the LSL Careers website
Required Experience:
Senior IC
Employment Type
Full-Time
