Job Description
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:
1. Compliance of regulated and non-regulated mortgage contracts.
2. File reviews - assessing suitability of the recommendation as well as Consumer Duty considerations.
3. Provide face-to-face or telephone feedback where appropriate.
4. Assisting with general compliance queries.
5. Auditing of Adviser files for Regulated Mortgages, Non Regulated Mortgages, Life Insurance, General Insurance and Wealth Management files.
6. Production of Compliance Audit Reports regarding the audits conducted.
7. Complaints Handling (from invest...