Compliance Manager / Specialist

Job Locations UK-Yorkshire-Sheffield
ID
2020-11276
# of Openings
1
Category
Financial Services
Position Type
Permanent Full-Time
Salary (OTE)
GBP £28,600.00

Our Values

Our Values

 


Compliance Manager / Complaints Specialist 

 

Home Based

£26,000 p.a + 10% discretionary annual bonus

 

When you join Spicerhaart you become a valued part of the Spicerhaart Family, which is the largest independent estate agent in the UK. We are passionate about developing our people and actively work towards a nurturing culture of continuous improvement to enable staff to reach their full potential. We operate in a high performance culture that prides itself on delivering excellent customer service inside and out. Our reputation depends on the service we provided to our internal and external customers.

 

 


Your Package

 

£26,000 basic salary

 

10% discretionary bonus (5% paid twice a year)

 

Death in Service after 12 months

 

Home Based

 

 


You as the Compliance Officer and Complaints Specialist at Just Mortgages

 

Passionate people are everywhere at Just Mortgages. This is a company which truly allows you to #followyourhaart and work with your very own professional family. When you’re in, you’re in – and it will be the best career decision you will ever make. Your personality will be the key to your success at Just Mortgages. The dedication you have to your team and natural ability to communicate will be evident in the way you gel with the members of this company and conduct yourself as someone who will go above and beyond. You will be able to organise yourself to ensure we continue we grow to be one of the strongest Financial Services Arms within the property sector. Your role will be one of the most important roles in the ompany, ensuring the company continues to maintain great compliance scores with our provider, Openwork. 

 

Team Fit:

 

  • You will be able to get along with anyone and everyone. You are the type of person that understands the importance of your role and the influence and gravitas of you team within the organisation, but you are also down-to-earth, friendly and team-orientated
  • You will be Results Orientated and able to organise yourself and others to achieve your goals
  • You will have the customer's best interest at heart - proving to be a strong customer champion
  • Confident, professional and personable style
  • Able to function independently and jointly as a member of a team
  • The right person for this role would be able to demonstrate an awareness of the regulatory requirements that Just Mortgages Mortgage and Protection advisers are governed
  • Upon researching Just Mortgages, this is a company you feel you would like to be a part of for a long time to come. 

 

Responsibilities:

  • Work with the business to remediate incidents of non-compliance
  • Manage Complaints, liaising with our Network and Managers to resolve complaints

  • Work with our Learning and Development team to develop and deliver training in respect of complaints
  • Monitor adherence to policies and report on compliance activities
  • Consult with employees, middle and senior management to identify root causes of non-compliance events
  • Provide guidance and recommendations on corrective actions or risk mitigation strategies in order to remediate non-compliant situations to senior managements
  • Monitor implementation progress of action plans designed to correct incidents of non-compliance or potential issues in policies, systems or employee conduct
  • Follow up with those accountable for implementing remedial activities to ensure that appropriate corrective actions or risk mitigations strategies are implemented fully within the required time frame
  • Maintain appropriate records, documentation and information relating to remediation actions
  • Conduct independent reviews to evaluate emerging regulatory risks and control weaknesses identified in compliance activities
  • Review and update procedures to reflect changes in legislation and information that impact the business
  • Advise the business in the development of internal control processes and policies to support ongoing compliance
  • Provide recommendations for the enhancement/clarification of compliance policies, practices, procedures, and/or systems changes necessary to support ongoing compliance
  • Act as an educational resource regarding applicable compliance matters and questions
  • Read regulatory bulletins, trade journals and news publications, and review regulatory websites in order to stay current on regulatory changes and trends
  • As and when required assist and support the Head of Compliance carryout her responsibilities
  • Compile organisational data into a reportable format in order to document how business lines and the organisation are or are not meeting regulatory requirements
  • Identify gaps in the existing compliance programs and participate in developing, maintaining and implementing changes to the firm's compliance policies and procedure

 

Qualifications and Requirements:

 

  • A thorough working knowledge of mortgages and the mortgage sales processes, previous selling experience is essential
  • Experience of complaints handling
  • CeMAP, or industry recognised equivalent qualification is a pre-requisite
  • A good understanding of the financial services core products e. Mortgages, Protection and General Insurance
  • Understanding of potential of IT tools and techniques, and integration of IT into business
  • Knowledge of traditional estate agency/financial services retail practices from both a client and business perspective
  • A competent and professional telephone manner
  • A good standard of report writing and record keeping
  • Excellent communication
  • Well-developed planning, organising and influencing
  • Ability to accurately and objectively assess and record factual information
  • Good keyboard/ computer skills, with the ability to adapt these skills to this specific role
  • Ability to prioritise effectively

The finer details

To be eligible to proceed in our recruitment process, you will need:

  1. Legal entitlement to live and work in the UK (in accordance with the Immigration Asylum and Nationality Act 2006)
  2. We’ll need evidence of your right to work in the UK, in the form of:
  • Passport/Birth Certificate

We will also need

  1. Proof of Address
  2. National Insurance

Equal Opportunities: At Spicerhaart, variety makes our Company DNA come to life. We love people, and what's more, we love the differences that make each person who they are, we support you and encourage those differences, to make you the best person you can be. Spicerhaart are proud to be an equal opportunity workplace and we welcome all talented individuals to apply for a career with us. We are committed to equal employment opportunity regardless of race, colour, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.

 

If you have a disability or special need that requires accommodation, please let our Talent Team know and we will be happy to assist to the best of our ability – regardless of how small or large your requirement may be.

 

To All Recruitment Agencies: Spicerhaart does not accept speculative agency CVs. Please do not forward CVs to the Talent Team, Spicerhaart employees or any other company location. Spicerhaart is not responsible for any fees related to unsolicited CVs received from external recruitment sources through our Preferred Suppliers List or otherwise.

 

Privacy Policy: We process any information you provide in accordance with our Privacy Policy which is available on the Spicerhaart website: https://www.spicerhaart.co.uk/about-us/our-people/staff-privacy-policy/

 

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