Kind Consultancy is working with a national Financial Services network which is currently seeking a Senior Compliance Review Officer to join them in a full-time, permanent role based in their East Midlands offices, paying up to £35,000 with a hybrid work model.

The Senior Compliance Review Officer will assess complex client files to ensure compliance with regulations and company standards, with key responsibilities including:

• Monitoring and maintaining FCA guidelines and regulatory obligations.
• Ensuring the organisation's standards are adhered to by Appointed Representatives and their Advisers, as per internal sales processes and procedures.
• Conducting desk-based checks to ensure complete sales documentation for mortgage product sales have been uploaded to the appropriate CRM system.
• Conducting desk-based analysis of mortgage recommendations which includes specialist area products such as Lifetime Mortgages, and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
• Acting as a point of contact providing support to staff and Appointed Representatives where escalation is needed for queries on more complex cases.
• Mentoring co-workers providing guidance, advice, feedback and assist in the growth and development of others.
• Producing reports and maintaining records of analysis as specified by the Internal Compliance Manager, Head of Operational Compliance and/or the Compliance Director.
• Providing appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.
• Reporting any wilful and uncorrected deficient advice and/or documentation and agreeing appropriate remedial action.
• Maintaining ongoing competency through development of personal training plans in conjunction with the Internal Compliance Manager.

Our ideal candidate:

• Is CeMAP and CeRER qualified or equivalent
• Has a minimum 2 years of experience in a similar role within regulated Financial Services.
• Has experience of managing and reviewing more complex case files
• Is willing to undertake training to increase knowledge in specialist area products such as Lifetime Mortgages
• Has good knowledge of systems of control and able to follow clearly defined procedures
• Demonstrates excellent verbal and written communication skills
• Has a good grounding in and understanding of working within a Regulatory environment, including demonstrable supervisory and leadership skills
• Is able to facilitate and deliver appropriate training, liaising with the training manager where necessary
• Has good computer skills including Microsoft Office suite

If you have the skills, knowledge, experience and qualifications we're looking for and you're interested in the Senior Compliance Review Officer role, please apply with an updated CV today.