Compliance Manager & Administration Manager

Brevere Group
St. Albans, UK
20 May 2019
26 May 2019
Contract Type
Level of qualification
Due to continued success in providing fee based advice to clients, this successful mortgage practice requires a professional and proactive Compliance and Office Manager to provide support to Advisers and the wider business. You will be responsible for the day to day running of the office and its functions - developing a detailed knowledge of the businesses policies & procedures. Carry out administrative duties to facilitate the operation while spotting improvements that could be made and plan accordingly, as well as working with existing Brokers and Paraplanners to support and grow the business. Duties for this role will include: Overseeing Compliance Diary & Compliance Library Overseeing and updating Registers Ensure staff files are updated annually and contain relevant FCA requirement - annual credit check, fit & proper assessment. Keeping up to date with regulatory changes and updating company documents accordingly Carry out mortgage & protection file checks for advisers ensuring that company standards and regulatory requirements are maintained Organise annual testing for all staff on Anti Money Laundering, conflicts of Interest You will have: Experience of navigating and interpreting the FCA handbook Experience working in a Mortgage broker or lender Be proficient working within a compliance / regulatory role CeMAP is preferred This is an excellent role within a forward thinking and innovative firm who are continually looking to improve and develop the services which they offer to their clients. In return, you will receive a generous basic package and the support to develop your skills and further your career. By applying for this role, you agree that we will hold and process your details in line with our Privacy Policy. Our Privacy Policy and information about how we use data can be found on our website