Head of Compliance Policy - PRIMIS Mortgage Network
Part of LSL Property Services plc, PRIMIS Mortgage Network are an Appointed Representative Network within the Financial Service sector with its core market being Mortgages, Protection and General Insurance (GI) alongside a presence in wealth.
PRIMIS partner with some 700 Mortgage & Protection advisory businesses nationwide with 2500 advisors and, as such, PRIMIS are seen as the largest dedicated Mortgage and Protection Network in the UK and are keen to grow still further by way of selected acquisitions and continued organic growth.
We are keen to enhance our existing highly proficient and experienced Compliance Team with the addition of a new role being - Head of Compliance Policy reporting directly to the PRIMIS Compliance Director.
The base for the role would be at the PRIMIS HQ on the Birmingham Business Park in Solihull, B37 although we are flexible around location as long as there are a minimum of 3 days weekly in Solihull.
Role Purpose -
The objective of this role will be to support the Head of Quality with effective management
Lead PRIMIS Compliance policy and provide best in class’ regulatory support to the business.
Design, develop and maintain policy, process and procedures that ensures that PRIMIS complies with all FCA rules and requirements.
Provide timely, practical advice and guidance to the business on how to comply with the FCA rules and regulations
Oversee and support delivery of market leading compliance policy and guidance to PRIMIS Appointed Representatives and to our Wealth DA customers.
Provide the Compliance Director and relevant board committees with detail of all key regulatory change and suggest appropriate actions that enable compliance.
Provide effective compliance leadership in relation to business change programmes and projects.
Contribute to PRIMIS strategy through the identification of opportunities presented by regulation within of the mortgage, insurance and investment markets.
Keep up-to-date with external regulatory requirements, identify business opportunities and advise the executive team on the current compliance environment and contribute to corporate strategy in the compliance area.
Provide leadership within the FS business in respect of FCA compliance.
Provide accurate, comprehensive and risk based compliance advice and guidance to the business.
Maintain awareness and understanding of the strategic risks faced by the PRIMIS arising from sources identified in the risk matrix and contribute to the development of the PRIMIS’ business plans, policies and practices so that due regard is paid to these risks.
Ensure the delivery of high quality compliance policy and guidance materials for the PRIMIS Network and support the delivery of such materials to Wealth and TMA customers.
Develop, maintain and implement policies and procedures to achieve compliance with mortgage and insurance regulation and oversee the implementation of agreed policies and procedures
Form productive relationships with Directors and Senior Managers in order to help them understand and address regulatory requirements and to assist them in delivering compliance related projects.
Arrange for the relevant board committees to be provided with accurate reliable and timely information about regulatory matters and regulatory change.
Maintain the highest standards of professionalism and integrity in all business and personal dealings.
Other duties commensurate with the level of position that may be required by the Compliance Director or by members of the PRIMIS Executive Committee, Financial Services Division.
Knowledge and Expertise
Must be able to demonstrate strong personal expertise in respect of FCA rules relating to mortgages, insurance and investment activity.
Must have knowledge of the workings of large AR networks and the needs of mortgage and insurance brokers.
Should show understanding and experience of delivering DA compliance service across mortgages, protection, general insurance and wealth management.
Must have a strong record of delivering complex compliance related projects - including project management experience
Experience / Qualifications
Significant experience of managing Compliance Policy or compliance related functions at a Senior Level in large networks or similar large businesses
Strong people management skills, including a track record of managing small, technical teams Direct reports will total 4
Should hold relevant industry qualifications relating to mortgages, compliance management and / or investments.
Entrepreneurial approach with vision to identify potential business streams, improvements and opportunities.
Must be able to build effective working relationships and coalitions, in order to build consensus around compliance policies and solutions.
Ability to work under pressure, prioritise and work to tight deadlines.
Educated to at least degree level preferred or hold an equivalent professional qualification.
A strong salary package DOE negotiable, Enhanced Pension scheme, Healthcare, 27 days holiday plus bank holidays alongside Staff Share incentive plans as and when they are available
Should you wish to apply for the role please submit your CV with a covering letter to include salary expectations to james.
mcnee lslps.co.uk of LSL’s internal recruitment function
We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs, if you require any adjustments to make the recruitment process easier please let us know.
Primis Mortgage Network /