Head of Risk & Compliance - Mortgage Brokerage

  • £85,000 + 20% Bonus
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Hamlyn Williams
  • 13 Jun 18 2018-06-13

Hamlyn Williams is currently working with a Mortgage Brokerage client who is looking for a Senior Risk and Compliance individual to join their team. This is an exciting time to join a fintech start-up firm who are well on their way to growing and expanding, in London.

As a Head of Risk & Compliance, you'll be responsible for hiring and building your compliance team, as well as overseeing the compliance training for new Mortgage Advisers. You'll also be reporting directly to the Chief Operations Officer, to understand the agreed development needs for Advisers and to recommend new advisers for competence assessments. 


Main duties, but not limited to: 

  • Develop and deploy the Operational Risk management strategy and framework
  • Ensure effective operational risks monitoring and prevention
  • Optimise the risk profile
  • Manage Risk Assurance processes
  • To deliver core Supervision and T&C support to our mortgage experts regardless of their status of competence.
  • Supervise the monitoring and testing of regulatory compliance control effectiveness by performing sufficient and representative reviews
  • Organise, host and deliver presentations as required
  • Manage any issues proactively through to resolution, working closely with internal stakeholders
  • Accurately compile reports such as KPIs/KRIs/conduct risk etc
  • Undertake projects as and when required, to support the needs of the business or to achieve functional objectives
  • Coordinate second line approval for the business for the development of new products
  • Oversee the breaches/incident log to ensure that identified deficiencies and incidents are followed up
  • Deliver the role competently and comply with the relevant standards and procedures, ensuring that the company delivers a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes that customers are treated fairly.


To be successful in this role, you must have:

  • 3+ years' experience in a Mortgage Compliance and Operational Risk role or whole of market experience
  • Experience working within a compliance/regulatory role
  • CeMAP qualified


For more information, apply now.