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Senior Risk Analyst

Kind Consultancy is working with a well-established Retail Financial Services business which is currently seeking a Senior Risk Analyst to join them in a full-time, permanent role paying circa £40,000 with a hybrid work model requiring 2/3 days per week in their Leicestershire Office.

Aiding the Risk & Compliance Manager, the Senior Risk Analyst will focus on ensuring the organisation meets all relevant regulatory, risk and compliance requirements, with key responsibilities including:

  • Leading risk analysis and deep dives using quantitative data and qualitative information, presenting the results with appropriate context to enable strong decision making.
  • Being an integral part of the quarterly risk management process including supporting and running risk owner meetings and preparing and evolving management reporting
  • Organising and being a member of the Risk Management Group, recording and distributing the minutes of the meetings.
  • Providing oversight, support and guidance on risk and control matters across the organisation and providing challenge to colleagues in a professional manner when necessary.
  • Supporting the RCM and Senior Team in reviewing the organisation’s important business services. This will involve testing impact tolerances and scenarios and reviewing outsourcing and third party arrangements.
  • Overseeing the process relating to money laundering and fraud systems.
  • Considering the implementation of new compliance procedures and processes in conjunction with the Risk & Compliance Manager as relates to new regulatory requirements and codes of practice.
  • Supporting and enhancing the Risk & Compliance function, identifying and demonstrating technological solutions to improve efficiency, reviewing and challenging how the risk framework operates and making suggestions for improvements.
  • Tracking risk issue remediation and delivery to ensure efficient resolution and compliance.
  • Line management of the Risk & Compliance Assistants

Our ideal candidate for the Senior Risk Analyst opportunity:

  • Has experience of Risk & Compliance related work within a regulated Financial Services environment
  • Holds GCSE Maths and English Grade A-C or equivalent (holding a Risk-related professional qualification would be desirable)
  • Has excellent communication skills (both written and verbal)
  • Demonstrates excellent attention to detail with a passion for producing quality work
  • Is flexible, positive, hardworking and reliable, with a collaborative approach
  • Is able to coach and feedback effectively – past experience of managing and leading would be beneficial
  • Has good computer skills and is a confident user of Microsoft Office products

If you have the skills and experience we’re looking for, you’re based in or can commute to Leicestershire and you’re interested in the Senior Risk Analyst, please apply with an updated CV today.

Senior Compliance Manager

Kind Consultancy is working with a well-established Insurance business which is currently seeking a Senior Compliance Manager to join them in a full-time, permanent role paying circa £70,000 with a predominantly remote working model.

The Senior Compliance Manager will assist the Chief Risk Officer in ensuring all of the organisation’s regulated entities comply with the regulatory requirements set by the FCA, PRA and internal policy standards, with key responsibilities including:

  • Leading, managing and supporting the Senior Compliance Officer’s, ensuring that their day-to-day responsibilities are met, and projects delivered on time.
  • Overall responsibility for the compliance dashboard, reviewing MI and prepare the Dashboard Exec Summary to identify and challenge strategic and conduct risk.
  • Leading on regulatory approvals via the FCA Connect system, ensuring that employees requiring FCA / PRA approval are authorised in a timely manner to avoid regulatory censure and conduct risk issues.
  • Ensuring that periodic regulatory returns are completed in an accurate and timely manner.
  • Owning allocated compliance monitoring projects, undertaking compliance monitoring, conducting sample monitoring of the initial checks completed by the Senior Compliance Officer’s on a quarterly basis.
  • Overseeing special projects – Audit action items, SM&CR requirements (Handover/Fit and Proper Assessments with PST,), FCA Directory, Client Assets, Social Media Reviews, FOS Complaints, Sanction List Monitoring and Threshold Conditions.
  • Dealing with general and complex Compliance queries from across the business, preparing the appropriate information in response to these, such as compliance process queries, TCF Dashboard queries or compliance monitoring follow ups, queries regarding the requirements for SM&CR, regulatory queries
  • Assisting the Chief Risk Officer in preparation for the Risk and Compliance Committee meetings.
  • Maintaining a working knowledge of regulatory updates via training which can then be communicated to the Compliance team and wider business.
  • Reviewing of in-house compliance training (online portal) to ensure accuracy or relevance of material, in order to improve the compliance culture across the Group.
  • Taking the lead on investigating, reviewing and the creation of a final response in terms of FOS complaints.
  • Taking the lead on the review and update of compliance process documentation and how-to guides
  • Identifying training and development plans for direct reports as well as objective setting and performance management.

Our ideal candidate for the Senior Compliance Manager opportunity:

  • Holds a relevant Compliance or Risk qualification
  • Has 3- 5 years post qualification experience in Risk or Regulatory Compliance
  • Possesses in-depth knowledge of the regulatory framework, FCA / PRA and AR regulations, with the ability to educate a wider business on Compliance matters
  • Has previously managed a team and has experience of planning and overseeing projects
  • Has a good understanding of Insurance sales processes and strong technical knowledge of Insurance Compliance
  • Demonstrates a high level of attention to detail, excellent communication skills in both writing and speech, and strong leadership and managerial skills
  • Is IT-literate and a confident user of Microsoft Word, Excel and Outlook
  • Is able to plan/complete implementations and contribute to culture change
  • Has the ability to translate complex regulatory issues and concerns for a variety of audiences
  • Displays well attuned inter-personal skills, including influencing stakeholders at all levels, team working and handling difficult relationships
  • Demonstrates strong stakeholder management at all levels

If you have the skills, knowledge and experience we’re looking for and you’re interested in the Senior Compliance Manager position, please apply with an updated CV today.

Compliance Supervisor

Kind Consultancy is working with a Mortgage & Protection network which is currently seeking a Compliance Supervisor to join them in a full time, permanent role paying circa £30,000 with a hybrid work model based in their East Midlands offices.

The Compliance Supervisor will proactively monitor network firms and advisers to identify any emerging risks and provide compliance guidance and support to staff and Appointed Representatives, with key responsibilities including:

  • Conducting desk-based visits via Teams/Zoom which will include risk-based compliance monitoring to ensure that network members comply with the requirements of the FCA and network rules in respect of regulated mortgage and non-investment insurance business
  • Agreeing actions and prepare reports for Firm Principals and advisers
  • Acting asa  supervisor within the Training & Competence scheme and act as an ambassador for the use of relevant IT programs and systems
  • Building strong relationships with key stakeholders, championing good customer outcomes.
  • Providing advice and guidance to network members in response to enquiries received
  • Ensuring all current and future regulatory requirements are adhered to with effective controls in place
  • Ensuring appropriate standards and procedures are followed by authorised appointed representatives
  • Assisting and guiding the Internal Compliance Review Officers regarding technical queries and challenges arising in the file review process
  • Submitting management information regarding activity and any emerging risks to the appropriate RCM-TL, including periodic reports as required
  • Attending regulatory and other training events as agreed with the RCM-TL
  • Attending face to face interventions and investigations as required, on an exceptional basis

Our ideal candidate for the Compliance Supervisor opportunity:

  • Is CeMAP qualified (essential) and CeRER qualified (desirable)
  • Has a minimum 2 years of experience in a similar role within the financial services sector
  • Comes from a sound background in compliance monitoring, risk management and reporting processes
  • Has demonstrable supervisory skills
  • Excellent verbal and written communication skills
  • Is able to analyse information with a view to making informed decisions
  • 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 player, but with a definite ability to work under own initiative
  • Displays good computer skills including Microsoft applications
  • Demonstrates good knowledge of systems of control and is able to follow clearly defined procedures

If you have the necessary skills, knowledge, experience and qualifications and you’re interested in the Compliance Supervisor opportunity, please apply with an updated CV today.

Head of Technical Compliance

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.

Telephone Business Development Manager

Kind Consultancy is working with an alternative mortgage lender, which is currently seeking a Telephone Business Development Manager to join them in a full-time, permanent role in their Hertfordshire office, paying up to £35,000 plus an excellent, uncapped commission rate.

The Telephone BDM will create, manage, and develop relationships through proactive telephone contact with a number of intermediaries within an allocated region, working collaboratively with a field-based BDM to promote Buy to Let and Bridging products, with key responsibilities including:

  • Quickly building and maintaining expert knowledge of the firm’s Buy To Let and Bridging products, criteria, process and USPs to be able to assess enquiries, produce terms and progress these into applications within SLA’s.
  • Speaking to introducers and handling new business enquiries.
  • Ensuring that any reports and the CRM system are kept up to date, accurately recording discussions and activities.
  • Carrying out thorough fact finds with the intermediary to asses the size of each opportunity and identify appropriate firms to work with the field BDM
  • Booking meetings with intermediaries via teams to present BTL & Bridging propositions
  • Assessing enquiries via telephone and email and identifying sales opportunities, developing expertise in deal structuring in order to produce terms/quotes
  • Understanding and articulating the product features and benefits across both BTL & Bridging products including but not limited to, products available, rate/fee options, loan calculations
  • Following up on terms issued (bridging) and deals agreed (BTL) within SLA in order to progress them into applications, handling objections in order to win the deal
  • Making introductions to new firms registering via broker support, ensure they are aware of key contacts for enquiries/support in that region

Our ideal candidate for the Telephone BDM opportunity:

  • Has good telephone manner and is highly articulate
  • Has a track-record of successfully building strong business relationships
  • Demonstrates the confidence to pursue leads and overcome objections.
  • has excellent call handling, listening, and influencing skills.
  • Has some knowledge of bridging finance and/or buy to let and Sales experience
  • Is PC Literate with a good knowledge of Outlook, Word, Excel and PowerPoint.
  • Is able to analyse and present complex information in a clear, relevant and interesting way.
  • Is self-motivated and enthusiastic with the drive to succeed and deliver results.
  • Is punctual and well organised with good administration skills.

If you’re interested in the Telephone BDM role and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

Pre-Offer Case Manager

Kind Consultancy is working with an alternative mortgage lender which is currently seeking a Pre-Offer Case Manager to join them in a full time, permanent position with a hybrid work model based in their Kent office, paying up to £24,000.

The Pre-Offer Case Manager will process mortgage applications through the system up until the point of offer, with key responsibilities including:

  • Inputting, updating and maintaining data on the system, accurately reflecting the current stage of each case.
  • Dealing with processing queries relating to each application.
  • Managing the dashboard to monitor applications and complete any relevant tasks.
  • Obtaining updates on the mortgage applications to ensure that they are progressing smoothly from application to offer.
  • Reviewing and pre-approve valuation reports in readiness for underwriter’s revies, and any supplementary documents required on each application.
  • Handling phone calls both incoming and outgoing, discussing application progress and requesting outstanding items
  • Actioning emails that are received from 3rd parties such as Valuers, Solicitors and Brokers
  • Act ingas the first ‘port of call’ with any queries on all mortgage applications from pre offer stage to offer.
  • Liaising with Mortgage Brokers, appraising them of the progress of specific mortgage cases and seeking to resolve any queries that arise.
  • Escalating any specific problems for discussion and resolution to Line Manager.
  • Liaising with the underwriting team, ensuring that application requirements and conditions are complied with and updated.

Our ideal candidate for the Pre-Offer Case Manager position:

  • Has excellent telephone manner developed in Customer Service and/or Administration roles
  • Has strong communication and stakeholder management skills
  • Is a team-player with strong communication skills and a commitment to personal development and continual learning
  • Having some knowledge of Mortgages, including Buy-to-Let Mortgages, would be advantageous

If you’re interested in the Pre-Offer Case Manager opportunity, you have the skills and experience we’re looking for and you’re based in or can commute to Kent, please apply with an updated CV today.

Mortgage Underwriter

Kind Consultancy is working with a specialist mortgage lender, which is currently seeking a Mortgage Underwriter to join them in a permanent, full-time role paying circa £37,000, based in their Kent offices with a hybrid work model (1 day per week from home).

The role centres on underwriting Mortgage Applications accurately and to a high quality, with key responsibilities including:

  • Underwriting Mortgage Applications to high standards, ensuring that the Lending Criteria is adhered to.
  • Interpreting CAIS/Credit data for all individual/company Applications.
  • Assessing Portfolio Landlords in accordance with current regulations and guidelines.
  • Effectively, and proactively, managing your pipeline.
  • Providing training, knowledge and assistance to colleagues when required.
  • Taking ownership of complex cases and queries.
  • Planning and prioritising allocated workloads against agreed service standards.
  • Assessing Applications within a prescribed Mandate level and presenting Applications to higher Mandate holders/Credit Committee when applicable.
  • Liaising with various internal departments to ensure the efficient progression of Applications.
  • Ensuring timely, accurate and appropriate responses to enquiries or correspondence from internal or external sources.

Our ideal candidate for the Mortgage Underwriter opportunity:

  • Fully understands the Mortgage process and has a strong knowledge of the Mortgage market.
  • Has a strong understanding of Microsoft Word, Excel and Outlook is essential.
  • Supports colleagues with a positive approach, seeking the best outcome.
  • Is analytically minded with high attention to quality and detail.
  • Has a minimum of 1 years underwriting experience within the Buy to Let market, although residential or commercial markets can be considered.
  • Must have previously held an Underwriting Mandate.
  • Has excellent communication skills and strong planning and problem-solving skills.
  • Has previous experience within Specialist Lending – Limited Companies, Portfolio Landlords, Ex-Pats, Holiday Lets, HMO’s, Multi-Unit Properties.
  • Participates as a team member, creating effective and professional working relationships with colleagues.

If you’re interested in the Mortgage Underwriter opportunity and you have the skills and experience we’re looking for, please apply with an updated CV today.

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