Mortgage & Protection Compliance Officer

Mortgage & Protection Compliance Officer

Basingstoke | Office-based
Full-time

About the Role
We are a fast-growing financial services network expanding rapidly to support our increasing number of appointed firms and advisers. As a result of this growth, we are looking to recruit a Mortgage & Protection Compliance Officer to join our team in Basingstoke. This is an excellent opportunity for an experienced compliance professional to play a key role in a dynamic and forward-thinking organisation, with the chance to grow alongside the business.

• Review mortgage & protection cases submitted by advisers where financial crime is suspected. Submit relevant report, including Suspicious Activity Reports and reports to HMRC where financial crime is suspected.
• Review complex mortgage & protection cases including but not limited to equity release, bridging loans and high value protection policies.
• Perform risk assessments for new and existing products and advisers.
• Review and update AML and KYC policies and procedures.
• Interpret and present mortgage and protection compliance MI to key stakeholders, including directors, lenders & product providers, and the FCA.
• Support advisers to adhere to our Training and Competency scheme, including carrying out pre-Competent Adviser Status (pre-CAS) meetings with advisers.
• Investigate complaints, including by speaking to clients required.
• Review data breaches and draft/submit ICO reports.

• Previous experience in a compliance role within financial services.
• Strong understanding of FCA regulation and compliance requirements.
• Strong understanding of a mortgage and protection advice process.
• AML qualification (or working towards one) strongly preferred.
• Excellent attention to detail and organisational skills.
• Confident communicator, able to provide clear and practical guidance.
• Proactive, professional, and comfortable working in a growing, fast-paced environment.

• Be part of a fast-growing financial services network.
• Opportunity to influence and develop compliance processes as the business scales.
• Supportive, collaborative office-based team in Basingstoke.
• Company events.
• If you are a compliance professional looking for your next step in a growing organisation where your contribution will make a real impact, we would love to hear from you.