Compliance Officer
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Monthly Salary:
Posted on:
11 hours ago
Vacancies:
1 Vacancy
Job Summary
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Job Profile
Compliance 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 Compliance 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 individual looking for an exciting entry level role into the world of Financial Services Compliance Regulation and Legal Requirements.
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 but more whilst in training.
Main accountabilities:
- Identify new and emerging regulatory and legal developments through regular horizon scanning
- Conduct in-depth research on regulatory and legal topics
- Interpret regulatory requirements into plain English and practical and pragmatic actions
- Draft written communications to first line business owners outlining the requirements the potential impact and recommended actions
- Engage with the first line business areas to provide guidance and challenge on regulatory and legal topics
- Identify risks and provide support to mitigate these risks
- Review and analyse data for regulatory reporting
- Prepare regulatory reports ensuring they are accurate and submitted in a timely manner
- Conduct annual risk assessments including but not limited to AML & Fraud
- Support on project related work which requires 2nd line input or oversight
- Educate the business on regulatory and legal topics
- Respond to AR emails and telephone calls
- On an ad-hoc basis support compliance monitoring activities to ensure timely delivery of the annual monitoring plan
Knowledge & Expertise:
- Good verbal and written communication skills
- Strong research skills
- Ability to work independently in a fast-paced environment
- Good organisational skills
- Attention to detail
- Ability to influence key stakeholders at all levels
- Experience of regulated environments ideally within Financial Services - desirable
- Experience of GDPR and financial crime requirements desirable
- Basic knowledge of the FCA Handbook and regulatory framework governing mortgage protection and insurance particular the Appointed Representative Regime Approved Persons Consumer Duty and SM&CR - desirable.
- Basic understanding of the mortgage and insurance intermediary market -desirable
Salary - 25000 Full Time
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:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
LSL Property Services plc provide residential property services: estate agency, lettings, valuations, surveys, and advice on mortgages and non-investment insurance products
