Spicerhaart Compliance Manager / Specialist in Sheffield, United Kingdom
Compliance Manager / Complaints Specialist
We are part of Spicerhaart. Established in 1989, Spicerhaart is one of the UK’s most innovative estate agency groups, combining the largest independent residential sales and residential lettings branch network with a rapidly growing mortgage and
protection services and legal business.
Just Mortgages is one of the UKs largest mortgage advice companies and have a nationwide network of over 580 Mortgage and Protection Advisers. Our advisers are supported within our main business areas; Branch based (estate agency), Self employed and New Build.
Your career is important to us; we are passionate about developing you to realise your full potential and achieve success. We expect you to do all that you can to meet our expectations and achieve your personal goals. You will be motivated and committed to perform to the best of your ability at all times.
£30,000 basic salary
10% discretionary bonus (5% paid twice a year)
Death in Service after 12 months
You as the Compliance Officer and Complaints Specialist at Just Mortgages
Passionate people are everywhere at Just Mortgages. This is a company which truly allows you to #followyourhaart and work with your very own professional family. When you’re in, you’re in – and it will be the best career decision you will ever make. Your personality will be the key to your success at Just Mortgages. The dedication you have to your team and natural ability to communicate will be evident in the way you gel with the members of this company and conduct yourself as someone who will go above and beyond. You will be able to organise yourself to ensure we continue we grow to be one of the strongest Financial Services Arms within the property sector. Your role will be one of the most important roles in the ompany, ensuring the company continues to maintain great compliance scores with our provider, Openwork.
You will be able to get along with anyone and everyone. You are the type of person that understands the importance of your role and the influence and gravitas of you team within the organisation, but you are also down-to-earth, friendly and team-orientated
You will be Results Orientated and able to organise yourself and others to achieve your goals
You will have the customer's best interest at heart - proving to be a strong customer champion
Confident, professional and personable style
Able to function independently and jointly as a member of a team
The right person for this role would be able to demonstrate an awareness of the regulatory requirements that Just Mortgages Mortgage and Protection advisers are governed
Upon researching Just Mortgages, this is a company you feel you would like to be a part of for a long time to come.
Work with the business to remediate incidents of non-compliance
Manage Complaints, liaising with our Network and Managers to resolve complaints
Provide robus support and development to brokers in respect of fraud and complaints
Work with our Learning and Development team to develop and deliver training in respect of complaints
Monitor adherence to policies and report on compliance activities
Consult with employees, middle and senior management to identify root causes of non-compliance events
Provide guidance and recommendations on corrective actions or risk mitigation strategies in order to remediate non-compliant situations to senior managements
Monitor implementation progress of action plans designed to correct incidents of non-compliance or potential issues in policies, systems or employee conduct
Maintain appropriate records, documentation and information relating to remediation actions
Conduct independent reviews to evaluate emerging regulatory risks and control weaknesses identified in compliance activities
Review and update procedures to reflect changes in legislation and information that impact the business
Advise the business in the development of internal control processes and policies to support ongoing compliance
Provide recommendations for the enhancement/clarification of compliance policies, practices, procedures, and/or systems changes necessary to support ongoing compliance
Act as an educational resource regarding applicable compliance matters and questions
Read regulatory bulletins, trade journals and news publications, and review regulatory websites in order to stay current on regulatory changes and trends
As and when required assist and support the Head of Compliance carryout her responsibilities
Compile organisational data into a reportable format in order to document how business lines and the organisation are or are not meeting regulatory requirements
Identify gaps in the existing compliance programs and participate in developing, maintaining and implementing changes to the firm's compliance policies and procedure
Qualifications and Requirements:
A thorough working knowledge of mortgages and the mortgage sales processes, previous selling experience is essential
Experience of complaints handling and mortgaeg fraud investigation
CeMAP, or industry recognised equivalent qualification is a pre-requisite
A good understanding of the financial services core products e. Mortgages, Protection and General Insurance
Understanding of potential of IT tools and techniques, and integration of IT into business
Knowledge of traditional estate agency/financial services retail practices from both a client and business perspective
A competent and professional telephone manner
A good standard of report writing and record keeping
Well-developed planning, organising and influencing
Ability to accurately and objectively assess and record factual information
Good keyboard/ computer skills, with the ability to adapt these skills to this specific role
Ability to prioritise effectively
The finer details
To be eligible to proceed in our recruitment process, you will need:
Legal entitlement to live and work in the UK (in accordance with the Immigration Asylum and Nationality Act 2006)
We’ll need evidence of your right to work in the UK, in the form of:
We will also need
Proof of Address
Equal Opportunities: At Spicerhaart, variety makes our Company DNA come to life. We love people, and what's more, we love the differences that make each person who they are, we support you and encourage those differences, to make you the best person you can be. Spicerhaart are proud to be an equal opportunity workplace and we welcome all talented individuals to apply for a career with us. We are committed to equal employment opportunity regardless of race, colour, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.
If you have a disability or special need that requires accommodation, please let our Talent Team know and we will be happy to assist to the best of our ability – regardless of how small or large your requirement may be.
To All Recruitment Agencies: Spicerhaart does not accept speculative agency CVs. Please do not forward CVs to the Talent Team, Spicerhaart employees or any other company location. Spicerhaart is not responsible for any fees related to unsolicited CVs received from external recruitment sources through our Preferred Suppliers List or otherwise.
External Company URL: https://www.spicerhaart.co.uk/recruitment/
Address Line 1: 922 Ecclesall Road