Compliance Officer
Compliance Officer
Posted on :
06-06-2025
Employer Active
1 Vacancy
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Job Description
Job Description
Compliance Officer Mortgages / Wealth
Are you interested in working for a leading financial services provider based in the City of London
An excellent opportunity is available for an experienced Compliance Officer to join the compliance team ensuring that the business assurance / compliance is maintained in areas of regulated and non-regulated property finance advice (mortgages BTL Bridging Finance HNW Self Build) and Wealth Management (Pensions / Investments).
Candidates must have proven experience in a dedicated mortgage compliance role including areas such as Anti Money Laundering Fraud Prevention and Consumer Duty.
The is a great opportunity to join a thriving business offering genuine career progression.
Areas of responsibility:
- Compliance of regulated and non-regulated mortgage contracts.
- File reviews - assessing suitability of the recommendation as well as Consumer Duty considerations.
- Provide face-to-face or telephone feedback where appropriate.
- Assisting with general compliance queries.
- Auditing of Adviser files for Regulated Mortgages Non Regulated Mortgages Life Insurance General Insurance and Wealth Management files.
- Production of Compliance Audit Reports regarding the audits conducted.
- Complaints Handling (from investigation through to conclusion).
- Dealing with adhoc KYC/CDD Queries including possible sanction matches
- Suspicious Activity Investigations / NCA reporting (from investigation through to conclusion).
Experience required:
- Must possess the relevant qualifications for the business areas involved in e.g. mortgages (CeMAP or equivalent) protection (RO5) Wealth Management (QCF Level 4 qualified). Desirable General Insurance CII certificate
- Must have adequate knowledge of FCA principles and regulations.
- Must have an understanding of the requirements under The Consumer Duty.
- Must have experience in mortgage compliance.
- Must have adequate knowledge of Fraud Prevention Anti-Money Laundering & Consumer Due Diligence regulations.
- Must have excellent interpersonal and communication skills.
- Must be able to work as part of a team and individually.
40k - 75k basic Bonus Benefits (Dependent on experience)
Required Experience:
Unclear Seniority
Employment Type
Full-Time
Key Skills
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