Head of Compliance

A Head of Compliance is required by an early stage FinTech operating in the Mortgage lending arena to set up and lead a high-profile compliance and conduct risk function and will define and maintain a robust strategy and framework across the organisation. The role can be worked on a REMOTE basis with occasional trips to their London head office. YOU MUST PREVIOUS COMPLIANCE EXPERIENCE WITH A MORTGAGE LENDER TO BE CONSIDERED FOR THIS ROLE.

Your responsibilities will include

• Providing compliance leadership and guidance as independent 2nd line regulatory and conduct advice, oversight and assurance SME for the firm.
• Ensuring regulatory updates are issued in a timely manner and where required based on changes in regulations.
• Identifying situations that may pose significant compliance and conduct risks and ensure the compliance department guides management in the development / reviewing of applicable policies, marketing materials, procedures and business practices etc.
• Providing oversight and advice on the firm’s Mortgage Advisor training and competency framework and undertake competency checks.
• Undertaking day-to-day compliance tasks including maintaining compliance policies, procedures, reporting, liaising with external authorities, preparing and conducting on-going compliance reviews as per the approved annual compliance review plan and complaints handling oversight
• Providing advice and support to the firm in determining its senior individuals who are performing roles requiring individual approval under SM&CR
• Providing compliance sign-off on customer documentation, marketing and financial promotions etc
• Overseeing KYC/CDD and AML/CTF checks conducted by both outsourced and internal staff together
• Supporting the Money Laundering Reporting Officer (SMF17) in their responsibilities, including submission of an annual MLRO Report to the board.

You will be an experienced senior Compliance specialist with detailed knowledge of mortgage lending markets, infrastructure and applicable standards and regulations. You will have a strong working knowledge of FCA regulatory requirements, in particular MCOB. You must be willing to adopt a very hands-on approach to your work and will possess exceptional negotiation and influencing skills. In addition any previous experience of the design and implementation of compliance frameworks, policies and procedures would be advantageous.

Location:United Kingdom

Salary:To £90k + benefits


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