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Senior Compliance Monitoring Officer

LSL Property Services plc, Solihull

Senior Compliance Monitoring Officer

£60000-£65000

LSL Property Services plc, Solihull

  • Full time
  • Permanent
  • Remote working

Posted 2 weeks ago, 25 Mar | Get your application in now before you miss out!

Closing date: Closing date not specified

job Ref: 5ac267fd1eb4401c85acac159971e968

Full Job Description

  • Conduct comprehensive compliance monitoring reviews - plan, execute and complete compliance monitoring reviews including thematic and desk-based reviews ensuring a thorough and effective approach from planning to finalisation
  • Maintain robust evidence and record-keeping standards - gather and document all relevant evidence during testing to support findings and conclusions, ensuring records are complete, accurate and transparent
  • Deliver high quality reporting - prepare and communicate detailed, well-considered findings from compliance monitoring activities, both verbally and in writing, ensuring reports are comprehensive and insightful.
  • Monitor and support remedial action - track progress of remedial actions, providing clear reporting to stakeholders and offering guidance to management on implementing effective and sustainable improvements
  • Support risk assessments and monitoring plan developments - assist in conducting robust compliance risk assessments and contribute to the creation of a proportionate, risk-based annual monitoring plan that aligns business objectives and regulatory requirements
  • Collaborate on monitoring plan execution - work with the Head of to design, develop and track progress against the compliance monitoring plan, ensuring timely delivery of key activities
  • Deliver outstanding stakeholder support - provide exceptional customer support to appointed representatives via the compliance inbox and inbound calls, contributing to the business vision and customer satisfaction goals.
  • Undertake additional responsibilities - perform other compliance-related tasks or ad-hoc projects as required, contributing flexibly to the teams' objectives and broader organisational priorities

    Experience in compliance monitoring and testing within the financial services industry
  • Strong understanding of regulatory requirements, in particular MCOB, ICOBS, PRIN, SYSC, SUP, PROD, etc
  • Extensive knowledge of the FCA's Consumer Duty and AR Regime.
  • Expertise in developing risk-based monitoring plans and testing methodologies
  • Strong analytical and critical thinking skills to identify gaps and issues
  • Keen attention to detail and adherence to procedures
  • Effective communication, both written and verbal, for reporting findings and recommendations
  • Be able to engage with confidence and exert strong influence at all levels of the business
  • Ability to build strong relationships, overcome objections, negotiate, liaise and gain agreement at all levels of the business
    • Requirements:
  • 5+ years Financial Services experience in second line roles
  • Experience of compliance monitoring and / or control testing
  • Achieved the Certificate in Mortgage Advice and Practice (CeMAP) or equivalent - as a minimum
  • Knowledge and understanding of the risks inherent in a Network business model - desirable
  • Has achieved an industry recognised professional compliance qualification, for example, ICA Diploma in Governance, Risk & Compliance is preferable.

    Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions.
    • We are keen to recruit a Senior Compliance Monitoring Officer (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSL's Financial Services Division. This role presents an exciting opportunity for an experienced 2^nd line Compliance Monitoring and Testing professional to contribute to the success of our Financial Services Division by undertaking and completing compliance monitoring reviews including thematic and desk-based periodic reviews of the Networks systems and controls and provide assurance to the business and senior management.. The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid) We estimate no more than 1 - 2 days per week in the office.

    Salary - £60,000 - £65,000 DOE plus plc linked benefits Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office. Internal LSL group candidates must discuss with their immediate line manager in the first instance.

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