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Compliance & Quality Manager

About the Role

I am currently recruiting for a brilliant Compliance & Quality Manager role to join a well-established but growth focused financial services business based in Essex. My client are looking to pay up to £38,000 - £44,000 + bonus + other benefits.

The company themselves are within a specialist mortgages field so experience with mortgages would be fantastic and help your application immensely.

You will be heading up the growing compliance team for this established yet forward thinking business in Essex. The role will involve making sure the business is fully compliant adhering to the various regulators.

Skills required:
• A minimum of 5 years experience in compliance
• An outstanding knowledge of the mortgage industry’s standards and regulation
• Ideally experience within Mortgages and financial services

Main Responsibilities:
• Updating and maintaining Financial documents and promotions
• In-depth analysis of cases that are no longer progressing
• Maintaining Advisor the logs
• Treasury management
• Understanding and interpretations of changes to regulations impacting the business, and to close any gaps that have been identified.
• Keep up to date with legislation, regulation and best practices.
• Review compliance plans, and updating policies and procedures as required.
• Producing KPI’s and other management information, analysing and reporting this data to senior management as and when required.
• Assist the compliance supervisor with the review of case files using a risk based compliance monitoring system and following up on outstanding action points
• Implementing, developing, and overseeing control systems to prevent or deal with violations of legal guidelines, and internal policies.
• Day to day managing, motivating, delegating tasks, and providing feedback to the individuals in the compliance team.
• Keep up to date with legislation, regulation and best practices.
• Quarterly presentations of compliance issues
• Develop effective training programs on compliance matters

To be considered for this role you must have experience within a Financial Services organisation and preferably a mortgages environment.

This position is a fantastic opportunity to work with a forward thinking organisation who are going through a period of change. If you feel you would like to find out more, please get in touch with Joe Wrenn at Cactus Search.

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