Role details

Compliance Assistant

City of London   •   £25,000 - £30,000   •  Permanent

Bullet points

  • Buy to Let Mortgage Lenders
  • Permanent Vacancy with Career Opportunities

About Our Client

My client provides buy to let mortgages across the UK, they are hiring due to recent changes in the company and a growing client base.

This requires the compliance department to grow simultaneously and they are therefore looking for a Compliance Assistant to join their team on a permanent basis.

The company has regularly been awarded 5 stars at the Financial Adviser Service awards and voted Sunday Times 'Best Companies to work for' in 2010 and 2011, they have a team who service a significant mortgage book in excess of £5bn for both itself and its client base.

Job Description

Compliance Assistant Responsibilities:

  • Provide support and assurance as required to the Compliance Manager in maintaining second line of defence over the business activities.
  • Carry out monitoring tasks as detailed in the Compliance Monitoring plan.
  • Keep abreast of all prevailing and pending regulatory and legislative requirements and ensure management and staff are fully informed.
  • Providing guidance on the interpretation and application of regulation and the design of effective controls to ensure that internal policies and processes deliver regulatory compliance and good customer outcomes.
  • Undertake verbal and written communication with regulators, auditors under the direction of the Compliance Manager.
  • Assist in tracking the progress of Internal Audit recommendations to completion.
  • Support Compliance Manager in attending internal/ external/ committee meetings to ensure the business meets contractual and regulatory requirements.
  • Complete internal/external reporting requirements.
  • Assist in managing communications with relevant regulators on a timely and satisfactory basis.
  • Assist with Police, HMRC and NCA queries as required.

The Successful Applicant

Essential Criteria:

  • Up to date knowledge of FCA regulation and all other relevant regulations, specifically Conduct Risk, Treating Customer Fairly, MCOB, DISP & SUP requirements.
  • Experience in a mortgage compliance function with good understanding of the mortgage process.
  • Able to interpret regulation and legislation requirements in a company business context.
  • Proven ability to exercise professional judgement and the ability to focus on critical factors to complex situations.
  • Be able to take a holistic view of business or compliance issues to ensure that the impact, or unintended consequences (including conduct risks), are identified and understood.
  • Good communication and report writing skills.

Key Competencies:

  • Analytic
  • Task Planning
  • Decision making
  • Teamwork
  • Comunication

What's on Offer

The successful candidate will be paid £25,000-30,000 per annum depending on experience.

Apply for this job

Click the Apply or LinkedIn button below or contact Chirs Moore quoting job reference 13763464
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