This is a fantastic opportunity to join a well-established company that prides itself on providing an exceptional service to all its customers!
They are seeking an experienced and detail-oriented individual to play a pivotal role in safeguarding regulatory standards, advice quality, and customer outcomes. This is a key leadership position responsible for overseeing sales quality monitoring, regulatory reporting, complaints handling, and compliance governance within a fast-paced, target-driven mortgage environment.
Responsibilities:
-Act as a designated Key Individual for regulatory control functions, ensuring the business meets FCA regulatory standards and network requirements
-Monitor and report on Advisor Incentives, ensuring structures align with regulatory expectations
-Conduct regular SQR assessments to monitor advice quality, documentation standards, and regulatory adherence
-Oversee the Sales Quality Monitoring framework
-Oversee the handling of customer complaints in line ensuring fair customer outcomes
-Conduct new advisor checks (Sales Quality) to ensure competency and compliance
-Perform pipeline & report checking
-Produce and analyse weekly and monthly compliance and sales MI, identifying trends, risks, and improvement opportunities
-Compile and maintain Performance & Engagement Data ensuring accurate collation and reporting
-Manage and monitor the Sweep Up process to ensure incomplete or outstanding compliance items are resolved
-Support onboarding of new advisors ensuring CRM processes and compliance checks are correctly implemented
Candidate Attributes:
-Proven experience in a mortgage compliance or quality assurance role
-Experience operating within a mortgage network environment
-Understanding of CRM systems and compliance platforms
-Highly detail-oriented with strong analytical skills.
-Confident communicating with advisors, senior leadership, and external stakeholders
-Calm, measured, and solutions-focused under pressure
Hours: 20 – 38 hours per week between the hours of 9am – 5:30pm, Monday – Friday
Salary: Up to £30k (pro rata) + profit share bonus, car allowance, free parking and a generous holiday allowance
Salary description
£30000.00 - £30000.00 per year