Compliance Officer - #1624428

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 - £60k basic + Bonus + Benefits (Dependent on experience)