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Our client is one of the leading mortgage and protection Networks in the UK who are looking for a Compliance Manager to be the deputy to the Head of Compliance. You will be managing the Compliance Development team, ensuring all AR Firms continue to meet the required competency and business operating standards. This element of the role is about ensuring the team support all AR firms to operate within the network systems and controls, holding them to account for staying compliant in all business dealings with end customers.
This includes responsibility for providing direct support to the recruitment and induction processes in delivery, along with cooperation with any audit/investigation activities.
As deputy manager you will also be accountable for all first line supervisory activity of the Network and represent the business function internally and externally in the absence of the Head of Compliance.
Key Responsibilities:
- Collaborating with the Head of Compliance to define and agree performance targets and standards for the Compliance Development Management Team
- Provide reports in relation to the team to the Head of Compliance in a timely way, with complete information in agreed format and with accompanying notes
- Ensuring events are completed by the CDM team within required timelines (Sales Quality Meetings, Investigations, Observations, BSRs, etc.)
- Agreeing requirements, preparing for and attending recruitment led meetings with prospective AR Firms
- Liaison with the Business Training team to agree requirements for delivery of Induction materials to new AR Firms, their business principals and advisers
- Oversight of / Delivery of Compliance-specific materials to new starters during the Induction course, answering questions and confirming ongoing support following Induction (in liaison with New Partner Compliance and Business Standards teams)
- Liaising with firms and other Compliance Managers where AR Firms raise significant challenges to network policy - or raise a complaint about any aspect of Compliance T&C supervision & oversight. Working to reach a satisfactory conclusion which may include a visit to the firm in question
- Supporting effective deployment of the Network training and competence scheme, to both first line personnel and AR firms
- Attending Compliance Committee meetings to update the committee on matters which may affect the reputation, risk profile or soundness of the Network
- The day-to-day management of the compliance operations teams
- Conducting and documenting regular 1:1s with all Head of Compliance direct reports to ensure they are meeting the standards expected of their role
Experience Required:
- Previous Compliance experience within an FCA regulated business (ideally mortgages)
- CeMap qualified (or equivalent)
