Part Time Compliance Assistant

Mortgage Marketplace ,
Bristol, Bristol
More Details
Job Type: Full-time
Salary: £22,000 per annum

Overview

Our firm is an established Directly Authorised company ranking among the top fifty firms of Equity Release specialists in the UK. The business was created to work alongside our other Financial Services and Accounting Practices, servicing both current and new clients. We are very active in the Equity Release Market as well as mainstream Residential and Buy to Let Mortgages. We offer telephone-based or face or face Mortgage Advice to both markets, giving Whole of Market solutions. In addition, our advisers offer Protection and GI solutions to our clients. We are creating a role for a Compliance Assistant, reporting to the Compliance Director, where the main responsibilities will involve the following: File Reviews for Residential Mortgages, Protection and Equity Release Mortgages, ensuring compliance to company Sales Process Follow-up remedial actions and requirements as directed by protocol Implementing internal compliance and adviser monitoring functions. Maintaining and implementing current and future FCA disciplines and requirements. Collate and monitor adviser "Training and Competency" regime as directed by company T&C policy Collate and monitor adviser CPD regime as directed by company T&C policy Liaise with third party Compliance Support when required The successful candidate will possess the following attributes: 2 years plus experience in Financial Services Administration or Compliance Support Role A clear demonstrable knowledge of the mortgage market Able to work as part of a team and under own initiative Fully conversant with Microsoft Office and Cloud Solutions Team Player

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