Compliance Officer

About this role

Equifinance is a specialist second-charge mortgage lender that lends money to customers to meet a range of borrowing needs.

Are you an experienced Compliance Officer looking for a new challenge with this growing and ambitious financial services business?

This is an excellent opportunity to develop your career and grow with an expanding business.

We're looking for a proactive compliance professional with experience in second-line monitoring, regulatory reporting and complaint handling, ideally in secured lending or mortgages. This is a London office based role.

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The role

• Assist with customer complaints and deliver fair customer outcomes.
• Provide advice and guidance to first line teams on regulatory matters.
• Assist the Head of Compliance in carrying out periodic review of the company’s policies, procedures, and controls to ensure regulatory compliance and effective risk management.
• Work with the other members of the Compliance Team to ensure on-going thematic reviews, file audits and call reviews are delivered in accordance with the risk-based Compliance Monitoring Plan.
• Preparing compliance monitoring reports for presentation at governance forums.
• Identify and investigate potential financial crimes such as fraud and money laundering.
• Support the Head of Compliance with regulatory reporting.
• Assist in the delivery of colleague training in accordance with the company’s Training & Competence policy.
• Support the design & development of the Risk Management Framework, including managing incidents and breaches & updating the Risk Register.
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Experience

• Strong compliance experience within financial services, preferably in secured lending/mortgages.
• Awareness of the FCA’s regulatory approach and framework
• Strong complaint handling and problem-solving skills.
• Able to work individually and collaboratively to achieve business objectives.
• Exceptional relationship building and communication skills and the ability to communicate with colleagues at all levels of the business.
• Strong planning and organisation skills.

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