Compliance is a central role at Alexander Hall, made all the more important by the introduction of new regulation by the Financial Conduct Authority (FCA) for the mortgage and insurance industries.
As a Compliance Officer you will work closely with the Mortgage Advisers, monitoring all aspects of the process to ensure all paperwork is compliant with internal procedures and regulations. You will highlight any potential problems with individual Mortgage Advisers, ensuring they are corrected as well as playing a vital role training them on best practice.
Any complaints received from our clients regarding advice given are also handled by the compliance team. You will be required to investigate each case in detail looking at all of the facts before responding to the client in a professional, accurate manner.
To succeed in this role you must be fully CeMap qualified with experience of working within the mortgage industry. Specific experience of working in compliance is not essential, but a thorough understanding of the industry is strongly preferred. You must have excellent attention to detail and good people skills in order to encourage best practice within the sales team.