Compliance Officer

Position: Compliance Officer

Salary: £40,000

Hours: Full-Time

Location: Selby

Our client is one of the UK’s most successful commercial finance brokers, founded in 2004, they now manage over 100 appointed representatives. With direct FCA authorisation, the company is now able to advise on regulated residential mortgages.

DUTIES:

  • Owning the on-boarding of AR’s and approved persons with the FCA
  • Owning termination process of AR’s leaving / ceasing to trade
  • Owning directory persons applications for registered individuals / mortgage brokers
  • Owning Annual review process with AR’s
  • Overseeing changes to websites / marketing materials
  • FCA Connect reporting
  • RegData reporting
  • Direct authorisation applications with the FCA
  • Overseeing file checking for regulated files
  • Delivering compliance on-boarding training
  • Owning and updating policies (TCF, AML etc…)
  • Dealing with potential conflict of interest queries from the network
  • All general day to day compliance questions
  • Developing a robust framework for overseeing all files for non regulated products
  • Review suitability reports for commercial deals
  • Ad-hoc FCA reporting (recent survey)

EXPERIENCE/SKILLS:

  • Minimum of 2 years’ experience in compliance
  • Experience/background in FCA regulated industry
  • Be confident in reading and understanding financial accounts
  • Possess excellent customer service skills
  • Strong organisational skills

Job Types: Full-time, Permanent

Salary: £40,000.00 per year

Benefits:

  • Work from home

Schedule:

  • Monday to Friday