LSL Property Services plc

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Area Compliance / Supervision Manager - Home working   PRIMIS Mortgage Network are the largest Mortgage Network in the UK. PRIMIS consist of FS brands such as TMA, Personal Touch Financial Services, Mortgages First, RSC, Linear & Embrace Mortgage Services and part of the LSL Property Services plc Group.   We are recruiting for a home working / field based AREA COMPLIANCE / SUPERVISION MANAGER to join our 60 + strong Area Supervision team across the UK that support circa 3000 regulated advisors & appointed representatives throughout our network.   This is an excellent opportunity for an existing Mortgage Compliance individual with a proven track record in Mortgage & Protection compliance / supervision to join a truly fast paced people business.   The role is specifically within the pre - CAS team and involves the supervision of Trainee advisors through their CAS journey - This role is predominantly done remotely.   Duties to include - To ensure compliance with both in house and regulators’ compliance procedures for appointed representatives To ensure appropriate standards/procedures are followed by authorised appointed representatives Instruct, coach and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales Identifying areas where Advisors can improve their standards and associated risk ratings Conduct and evaluate assessments of Advisors, as part of an on-going regulatory regime including audit of defined procedures, competence requirements Identify areas of improvement, ensuring an appropriate report or action plan is communicated with responses monitored to ensure deadlines are timely and achievable Facilitate in the delivery of appropriate training, liaising with the Primis training team where necessary Demonstrate a suitable level of industry knowledge and experience to conduct the role Ensuring that appropriate needs are identified and where appropriate facilitate delivery of additional support to ensure needs are being met Supervise individual Advisors in accordance with the approved training and competence scheme Other duties commensurate with the level of position that may be required by the Compliance Head / Director.   A full UK driving license is essential.   Salary is between £36,000 and £40,000 per annum DOE   The salary stated includes the car allowance offered with this role.   Apply today for an exciting and challenging career with one of the largest Mortgage Networks in the UK.   Applications in confidence to James McNee of PRIMIS / LSL's internal recruitment function   We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs, if you require any adjustments to make the recruitment process easier please let us know. LSL Property Services are dedicated to protecting your data – our Recruitment Privacy Notice can be viewed on the LSL Careers website
Job ID
2022-16309
Location
Solihull
Salary
£36,000 - £40,000 DOE
Compliance Policy Manager– PRIMIS Mortgage Network   Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest dedicated Mortgage and Protection Network in the UK with some 900+ AR firms as business partners and with some 3000 advisors working alongside us.   We are keen to recruit a Compliance Policy Manager (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team.   The role will be based out of our HQ site in Solihull, West Midlands although  we are happy with a combination of 50% Office /  and 50% Home Working.   Role Purpose   To be at the forefront of complex regulatory change adding value to the business by providing real-time advice and compliance subject matter expertise across the business include regulated product areas (mortgages, equity release, protection, general insurance) and conduct risk, systems and controls and TCF. Interpret FCA rules and regulation into compliance policies and guidance to ARs and support to our DA proposition. Lead thought on the development, implementation, communication and review of Compliance Policy. Act as a compliance representative on key business change and development programmes.   Main Accountabilities - Keeping up-to-date with external regulatory requirements and ensuring that the policies followed by the Network and its ARs are up to date and reflect the Network’s risk appetite. - Delivery of compliance related projects, or compliance elements of wider business projects.  - Identification of emerging regulatory themes, and the provision of advice to the business on the risks and opportunities presented by these. - Design and production of policy materials, guidance, briefings and communications required to execute the above and to embed a ‘compliance culture.’ - Oversight and implementation of Network policy in relation to regulatory reporting and communication of exceptions to policy through the governance framework. - Provision of Compliance Subject Matter Expertise and advice and guidance to the business, including to business change and development programmes and projects. - Identification and reporting of breaches of procedure. - Considering the principles of Treating Customers Fairly (TCF) and to operate in a way that puts the customer first.   Knowledge and Expertise - Good understanding and knowledge of the FCA rule books (COBS, MCOBS, ICOBS, SYSC, SUP, PRIN, DISP, MIPRU & PERG) and their implementation. - Good understanding of Conduct and Regulatory risk. - Expertise desirable in SMCR, regulatory applications, policy advice, risk governance and compliance frameworks, regulatory reporting, systems and controls, financial promotions, training & competence. - Must have a strong record of delivering complex compliance and business related projects - including project management lead experience. - Experience of managing relationships and communications with the FCA with regards to surveys, data requests etc. - Preferred but not essential - Experience of regulatory reporting (RMAR) – data collection, sense checking, FCA deadlines and submissions. - Knowledge of completing gap analysis of policy, guidance against FCA rules and requirements. - Strong understanding of what is involved in providing advice/recommendations to customers as an intermediary for mortgages and non-investment contracts of insurance. - Ability to interpret rules and regulations to support the 1st line to create conduct risk controls and management information that delivers effective risk management. - Strong knowledge of mortgage and non-investment products, markets and providers and methods/channels of delivering advice to customers, including robo-advice. - Strong written and verbal communication skills; understanding of learning styles and ability to apply these to produce written guidance and other communications in respect of complex rules/ products/ scenarios. - Ability to influence diverse groups, including senior management and internal and external stakeholders.    Experience, qualifications and other requirements to the role - Essential – minimum of Full Cemap or Equivalent. - A good level of previous experience of an FCA (FSA) regulatory regime, interpreting regulatory requirements and advising intermediaries and others on how to comply with them. - Experience of working in a Compliance role (2nd Line) within relevant financial services sector. Should include experience of working with AR Networks. - Able to understand and operate to the principles of TCF and conduct risk management.   Salary:  £45,000 - £52,000 DOE negotiable   Based in Solihull, West Midlands although a combo of Remote Working / Office is available – there will be a requirement to travel also   Monies stated include car allowance   Internal LSL group candidates must discuss with their immediate line manager in the first instance.   If you are interested in applying for this position please forward your CV with covering letter in confidence to james.mcnee@lslps.co.uk of the in house recruitment function here at PRIMIS / LSL   We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs, if you require any adjustments to make the recruitment process easier please let us know.   LSL are dedicated to protecting your data – our Recruitment Privacy Notice can be viewed on the LSL Careers website
Job ID
2022-16308
Location
Solihull
Salary
£45,000 - £52,000 DOE negotiable

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