Regional Compliance Manager
Home-based - covering Stafford up to south Sheffield
HL Partnership is the largest privately-owned mortgage network in the UK. Our goal is to continue to be the best home for mortgage advisers, protection specialists, equity release experts and general insurance professionals, whatever their size or location. Due to continued growth, they are looking to expand our compliance team.
Following the growth in adviser numbers, we are looking to grow the Regional Compliance Team to continue to provide their firms with high quality face to face compliance support.
This additional role in the team will be the primary point of contact for Appointed Representatives in an allocated region, managing a risk-based monitoring program to ensure compliance to network standards and regulatory requirements.
The role is designed to ensure Appointed Representatives are, as per FCA guidelines, always 'Treating Customers Fairly' and delivering good customer outcomes.
Experienced required:
- Minimum 2 years of experience in a similar role within the financial services sector.
- A sound background in compliance monitoring, risk management, and reporting processes.
- Knowledge of systems of control and able to follow clearly defined procedures.
- Experience of working under pressure, prioritising, and working to tight deadlines.
Qualifications:
- CeMAP or equivalent professional financial services qualification as a minimum
- CeRER desirable
A full UK driving licence is also essential.
Benefits:
- £34,000 - £36,000 per annum plus car allowance
- Additional leave
- Sick pay
- Work from home
As a non-sponsoring company, we are unable to accept applications from those without the right to work in the UK.
