Kind Consultancy is working with a Mortgage & Protection network which is currently seeking a Head of Technical Compliance to join them in a full time, permanent role paying up to £60,000 with a predominantly remote working model requiring monthly travel to their East Midlands offices.

The Head of Technical Compliance will by overseeing and managing member firms and having responsibility for the complaints process with key responsibilities including:

• Designing, producing and maintaining reports of activities demonstrating analysis and risk-based management information (MI) liaising with Head of Supervision and Head of Internal Compliance to inform the supervision oversight controls and Training manager to inform additional needs or changes to network programs.
• Managing complaints handling to ensure that the network meets its obligations and ensure that root cause analysis is conducted when trends are identified.
• Ensuring that the requirements of consumer duty are embedded in the approach to each customer.
• Supporting the Compliance Director with timely MI to ensure that regulatory reporting and oversight is timely and submission within required deadlines
• Building strong relationships with key stakeholders, championing good customer outcomes.
• Monitoring FCA guidelines and regulatory obligations to ensure approach remains appropriate.
• Managing individuals within the team, including coaching, 1:1’s, training, and performance reviews through their line managers to ensure they have the necessary knowledge and skills.
• Acting as the point of contact providing support to staff and ARs where escalation is needed for queries and especially on complex risk concern cases.
• Reporting wilful and uncorrected deficient standards or conduct and take appropriate disciplinary action.

Our ideal candidate for the Head of Technical Compliance opportunity:

• Is CeMAP (essential) and CeRER (desirable) qualified
• Has a minimum 3 years of experience in a similar role within the financial services sector
• Has demonstrable supervisory skills including managing and coaching
• Has experience of managing and reviewing more complex case files or financial promotions
• Has strong knowledge of FCA systems of control requirements and ability to clearly define procedures and approach.
• Is competent on Microsoft Office suite i.e. Excel, Word etc.
• Has a good grounding and understanding of working within a Regulatory environment
• Demonstrates excellent verbal and written communication skills
• Is passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties
• Is a good team manager, with an ability to work under own initiative

If you're interested in the Head of Technical Compliance opportunity and you have the skills and experience we're looking for, please apply with an updated CV today.