Head of Compliance (Fully Remote)

A Head of Compliance is required by a successful and award-winning FinTech Mortgage and Credit Broker as the business looks to really develop its mortgage intermediary business with a particular focus on digitizing and automating part of the process to improve customer journeys and experience. There is the potential for equity participation in due course.

Your responsibilities will include

• Developing and delivering upon ongoing quality assurance testing through the Company’s Annual Compliance Plan
• Close engagement with product, design and approval processes (new and BAU) to ensure FinProm compliance and maintain complaint collateral.
• Deploying effective operational risk monitoring and where possible seek to automate in the future
• Ensuring the firm adheres to relevant Data Protection/GDPR requirements and ensures robust data privacy and security for its customers.
• Fostering good conduct risk and culture in respect of customer outcomes
• Oversight and management of SMCR throughout the business ensuring accountability and responsibility for relevant staff.
• Managing and developing the Training and Competence program for mortgage advisers
• Financial Promotions review and approval for all our customer facings assets
• Monitoring the regulatory climate and specific FCA guidance, keeping senior management informed of regulatory changes, intelligence and ensure appropriate changes are made
• Oversight and management of all third parties, vendors and introducers in line with the Company’s outsourcing and introducer management schedule
• Management of AML and fraud risks in the business

You will be an experienced Compliance specialist with strong mortgage experience (with either a lender or intermediary). You will have a strong working knowledge of FCA regulatory requirements, in particular MCOB. You will be operating at, or working towards, SMF16 level and will have the ability to translate complex regulations into practical policies and advice. You must be willing to adopt a very hands-on approach to your work and will possess exceptional negotiation and influencing skills.

Location:United Kingdom

Salary:£70k - £90k + benefits

Reference:414963

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