A highly respected Broker for Secured Loans, Bridging Finance and Commercial Mortgages is seeking a Quality Assurance and Monitoring Officer. Reporting directly to the Head of Compliance you will be responsible for conducting conduct and quality assurance files and telephones across the group and be involved in the ongoing development of the compliance monitoring plan JOB DETAILS
This is a varied role in which you shall be assisting the Head of Compliance and Compliance Manager with building and implementing the new compliance process to conduct monitoring and quality assurance of the business ensuring adherence with both internal policies and procedures as well as relevant regulation and legislation. Additionally you will also assist other members across the business with various compliance queries, handle complaints and find solutions to commercial problems.
To be considered for this opportunity you will have experience in navigating and interpreting the FCA handbook in a financial services compliance monitoring role. Ideal candidates will also hold a full CeMAP qualification, or be studying towards, and working with a lender or a brokerage would be an advantage.
This is a brilliant opportunity to work in a broad and interesting role within an expanding business who offer the opportunity to develop your career in a progressive environment. Additionally the role offers a great salary and competitive benefits package.
Please quote LBW1608-15 when calling Alexander Lloyd on 01293 572900 and ask for our Legal division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.