Are you a compliance professional who really likes to get "under the bonnet" of a business? Are you inquisitive and tenacious and keen to establish the root cause of a problem and fix it? Do you fly the flag for TCF and positive consumer outcomes at all times?
I am looking to engage with experienced investigative regulatory professionals from a mortgage and protection advisory background. You will have the credibility and gravitas to challenge and ask the right questions in the right way to extract the required information.
This role is Manchester based with travel as required and will involve and require the following:
- Investigations, audits and deep dives experience across a diverse adviser community
- Conduct recorded interviews and gather witness statements to create reports and recommendations regarding practices and potential punitive and remedial action
- Close liaison with advisory businesses and the FCA, lenders, providers, legal teams and insurers
- In-depth knowledge of Financial Crime processes and investigative procedures including AML, Fraud, Insider Trading, Bribery and Coercion, Market Abuse etc.
- Tenacious and inquisitive mindset with the ability to peel back the layers using methodical processes coupled with strong influencing and negotiations skills
- Ability to investigate, report and resolve challenges whilst engaging fully with your stakeholders.
- You will be fully up to speed with the FCA handbook, regulatory and conduct requirements within Mortgage & Protection Advice
- CeMap & R05 would be advantageous coupled with a strong investigatory, monitoring/audit background.
- PIP2 level would be advantageous but is not essential
- Full UK Driving License is required
Competitive salary, car allowance and benefits package.
For a confidential conversation please don't hesitate to contact me on 0113 4260783.