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Compliance Review Officer

Kind Consultancy is working with a market-leading, multi-award-winning Mortgage & Protection network which is currently seeking a Compliance Review Officer to join them in a 9-month Fixed Term Contract paying up to £27,000, with a hybrid work model based in their East Midlands office (after a fully office-based training period).

The Compliance Review Officer will primarily focus on assessing client files to ensure compliance with regulations and company standards, with other key responsibilities including:

  • Monitoring and maintaining FCA guidelines and regulatory obligations.
  • Ensuring that Network standards are adhered to by all Appointed Representatives and their Advisers.
  • Conducting desk-based checks to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM systems.
  • Carrying out desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
  • Producing reports and maintaining records of analysis as directed by the Compliance Manager and/or Compliance Director.
  • Building strong relationships with key stakeholders, championing good customer outcomes.
  • Providing appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.
  • Reporting any wilful and uncorrected deficient advice and/or documentation and agreeing appropriate remedial actions.

Our ideal candidate for the Compliance Review Officer fixed-term contract:

  • Has 2+ years of experience of comparable Compliance work within Financial Services.
  • Holds or is willing to attain CeMAP (or equivalent).
  • Has built up a good understanding of the current UK regulatory environment.
  • Is an excellent communicator in both writing and speech, able to translate complex information for a variety of audiences.
  • Is analytically minded with a problem-solving approach.
  • Has experience of facilitating and delivering training.
  • Is passionate about building excellent working relationships.

If you have the necessary skills, knowledge and experience, are based in or can commute to the East Midlands and you’re interested in the Compliance Review Officer fixed-term contract, please apply with an updated CV today.

Compliance Officer

Kind Consultancy is working with a well-established, award-winning IFA firm which is currently seeking a Compliance Officer to join their Hertfordshire offices in a full-time, permanent role paying £40,000 – £50,000 dependent on experience, with a hybrid work model requiring 3 in-office days per week.

Reporting to the Operations Manager, the Compliance Officer will support the Compliance function, ensuring the business is fully compliant with both internal and external policies and regulations, with key responsibilities including:

  • Overall management of regulatory risk
  • Building and maintaining a constructive and open dialogue with the FCA and other relevant authorities, ensuring that any regulatory reports or enquiries are handled appropriately and promptly.
  • Overseeing the review and development of existing products and services.
  • Collaborating with all business areas to find compliant solutions to business problems.
  • Overseeing any necessary remedial action arising as a consequence of regulatory risk
  • Overseeing regular auditing to ensure compliance with FCA regulations
  • Maintaining up-to-date awareness of regulatory developments
  • Assisting the Operations Manager to enable the provision of advice and guidance on all aspects of compliance
  • Responding in a timely basis to any requests for information from regulatory bodies.

Our ideal candidate for the Compliance Officer opportunity:

  • Is currently working in or has previously held a similar Compliance role within Financial Services – ideally with exposure to IFA work
  • Has a background in Financial Services administration support work, with experience of file checking and reviews
  • Is detail-oriented, able to maintain accurate records with consistently excellent attention to detail
  • Is professional and discrete, able to confidently, regularly handle highly confidential work
  • Is a self-starter with Project Management skills
  • Holding a Compliance or other Financial Services qualifications or working towards them would be desirable.

If you have the necessary skills, knowledge and experience, are based in or can commute to Hertfordshire and you’re interested in the Compliance Officer opportunity, please apply with an updated CV today.

Business Risk and Controls Manager

Kind Consultancy is working with an established and still-growing alternative Financial Services business which is currently seeking a Business Risk and Controls Manager to join them in a full-time role paying up to £70,000 with a hybrid work model based out of their Birmingham office.

Reporting to the Head of Business Risk, key responsibilities of the Business Risk and Controls Manager will include:

  • Leading and coordinating first-line risk sampling and control assessment activities to ensure efficient and insightful execution.
  • Assisting business units in achieving and maintaining compliance with the organisation’s RCSA framework.
  • Acting as a trusted advisor and subject matter expert to business teams on Operational Risk matters.
  • Providing coaching and support to develop team knowledge and confidence in Risk Management practices.
  • Identifying areas for improvement in risk controls and collaborating with teams to implement effective mitigation strategies.
  • Contributing to the continual enhancement of the organisation’s non-financial risk profile through proactive engagement and feedback loops.
  • Monitoring and reporting on risk themes, incidents, trends and control effectiveness to senior stakeholders.
  • Promoting a strong risk culture across the organisation, fostering a shared sense of ownership and accountability.
  • Ensuring, through monitoring, that appropriate levels of sampling are undertaken across the business, directly undertaking the sampling as agreed upon with the Head of Business Risk or the Executive Committee.
  • Acting as secretary to the Operational Risk Committee.
  • Providing regular reporting on outcomes, trends, recommendations, and risk profiling to committees as appropriate.
  • Periodically reviewing the Incidents with the second line.

Our ideal candidate for the Business Risk and Controls Manager opportunity:

  • Has proven experience in Operational Risk management within Financial Services.
  • Demonstrates a strong understanding of risk control frameworks, including RCSA, control testing, and issue management.
  • Displays excellent analytical skills and attention to detail, with the ability to interpret risk data and develop actionable insights.
  • Is a confident communicator with the ability to influence and engage stakeholders across different levels.
  • Has excellent knowledge of risk management policies and procedures, and of Business, Commercia and Corporate banking customers.
  • Demonstrates an extensive understanding of Operational Risk Frameworks, policies and procedures.
  • Has operational knowledge of bank processes and key regulatory/legal issues.
  • Is analytically minded with a problem-solving approach
  • Holding a relevant qualifications in risk management or compliance would be highly desirable (e.g., IRM, PRMIA, GARP, ICA)

If you have the skills, knowledge and experience we’re looking for, you’re based in or can commute to Birmingham and you’re interested in the Business Risk and Controls Manager opportunity, please apply with an updated CV today.

Paraplanner

Kind Consultancy is working with a fast growing, national Financial Adviser organisation which is currently seeking a Paraplanner to join them in a full-time, permanent role paying £40,000 to £45,000 based on experience. The role can be based in their Lincolnshire, Merseyside or Berkshire offices, with a hybrid work model requiring 2 in-office days per week.

Key responsibilities of the Paraplanner role will include:

  • Accurately preparing suitability reports and letters to target deadlines
  • Undertaking comparative research in preparation of client recommendations
  • Completing technical research as part of the existing arrangement review process
  • Ensuring all client work is compliant and supported with relevant paperwork
  • Performing tax planning analysis
  • Producing and analysing cashflow modelling
  • Understanding clients’ overall financial position from Independent Financial Adviser (IFA) fact-finds
  • Discussing client objectives with the relevant IFA, identifying and obtaining necessary client information to prepare the required suitability checks
  • Ensuring all client queries are appropriately investigated and accurate responses given
  • Conducting annual reviews in line with service level agreements.
  • Delivering good client outcomes, comply with the relevant compliance, terms and conditions, and financial crime procedures (anti-money laundering, data security, anti-bribery, fraud, and corruption) of the firm at all times.
  • Keeping up to date with all relevant product, legislative, and technical changes.
  • Ensuring relevant continuing professional development (CPD) is maintained and recorded accurately

Our ideal candidate for the Paraplanner opportunity:

  • Must be Level 4 Diploma qualified
  • Is proficient in all Microsoft Office programs, especially Excel and Word
  • Has strong written and verbal communication skills, including excellent telephone manner
  • Is highly organised, with good planning and time management skills
  • Is accurate in all work, with consistently strong attention to detail

If you’re interested in the Paraplanner opportunity, have the necessary skills and qualifications and can commute to one of the three listed office locations, please apply with an up-to-date CV today.

Mortgage Collections Officer

Kind Consultancy is working with a well established retail Financial Services business which is currently seeking a Mortgage Collections Officer to join their Mortgage Collections team in a full-time, permanent role with a hybrid work model (following a fully in-office training period) based out of their offices in the Nottingham area.

Reporting to the Mortgage Collections Team Leader, responsibilities of the Mortgage Collections Officer will include:

  • Acting as a Vulnerable Customer Specialist
  • Processing mortgage payments and redemptions
  • Undertake quality assurance checks of mortgage completions, retention of business completions and scanning
  • Handling arrears accounts, maintaining regular contact and providing support to customers where possible
  • Exercising a personal mandate in accordance with Company procedures
  • Reviewing concession requests and contract variation requests, providing accurate recommendations
  • Carrying out the unpaid Direct Debit process on a monthly basis
  • Producing quarterly arrears statements and 2 month+ arrears letters in line with regulatory requirements
  • Handling complaints as they arise in line with Company Policy & Procedures
  • Processing changes to customer accounts through the system and ensuring records are up to date

Our ideal candidate for the Mortgage Collections Officer opportunity:

  • Has previous experience of Collections and/or Arrears work – ideally 1+ years
  • Being CeMAP qualified with with a good knowledge of Mortgages and current Mortgage Lending legislation would be highly desirable
  • Must have experience of work within a regulated Financial Services environment
  • Is educated to A Level standard, holding 5 or more A-C GCSEs (or equivalent)

If you’re interested in the Mortgage Collections Officer opportunity and you have the skills, knowledge, experience and qualifications we’re looking for, please apply with an updated CV today.

Senior Compliance Manager

Kind Consultancy is working with a growing FinTech business which is currently seeking a Senior Compliance Manager to join them in a full-time, permanent role paying circa £70,000 with a hybrid work model based out of their London offices.

The Senior Compliance Manager will provide high-quality guidance across the business on regulatory and compliance matters, with key responsibilities including:

  • Delivering accurate advice on regulatory manners in a timely manner, including FCA Handbook requirements
  • Maintaining up to date knowledge of regulatory and industry developments and advising the senior team on the necessary actions ahead of regulatory change etc
  • Participating in key business projects, providing Compliance input
  • Making sure that the Compliance Manual and all relevant policies and procedures are kept up to date
  • Supporting colleagues through Compliance Investigations or Reviews
  • Where required by the Head of Compliance, liaising with the FCA and responding to regulatory information requests.
  • Contributing to a strong, positive Compliance culture by building good working relationships across the business

Our ideal candidate for the Senior Compliance Manager opportunity:

  • Has 3+ years of experience in Compliance roles within Financial Services – ideally with FinTech exposure
  • Demonstrates in-depth knowledge of the UK regulatory environment, including all relevant FCA Handbooks
  • Is an excellent communicator in writing and speech, able to quickly build lasting working relationships and to translate complex Compliance topics for a variety of audiences
  • Has a track record of successfully interpreting and applying new regulations for a Financial Services business
  • Is analytically minded and highly organised with exceptional attention to detail.
  • Is highly motivated, with a desire to drive business-wide improvement and create a positive Compliance culture.

If you’re interested in the Senior Compliance Manager opportunity and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

Head of Financial Crime

Kind Consultancy is working with a growing FinTech business which is currently seeking a Head of Financial Crime to join them in a full-time, permanent role paying circa £100,000 with a hybrid work model based out of their London offices.

Leading the Financial Crime team, the Head of Financial Crime will hold overall responsibility for the implementation and execution of the organisation’s Financial Crime framework, including AML, CTF, Sanction Compliance, Fraud Standards, CDD, KYC and ABC, with key activities including:

  • Providing input to policies and suggesting policy enhancements, identifying MI reporting requirements for critical Financial Crime metrics to continuously build on the organisation’s Financial Crime defence position within the 1st line
  • Developing and maintaining key risk indicators to support the firm’s Financial Crime risk appetite, working with 2nd line to operationalise the risk appetite monitoring and reporting on compliance.
  • Holding responsibility for Financial Crime Data requirements and needs, ensuring a list of key data fields essential to Financial Crime processes are collated and maintained
  • Providing input and guidance to the 1st line business units for the Financial Crime Business Wide Risk Assessment
  • Creating and executing industry standard quality assurance frameworks to regularly assess the organisation’s position on Financial Crime
  • Writing professional briefings and papers to governance committees at Executive and Board level with the firm’s current state of play and providing clear plans to further enhance Financial Crime Operations
  • Working closely with the MLRO, providing status updates and briefing progress on new regulatory developments and Financial Crime enhancements.
  • Holding line management responsibility for the Financial Crime team, responsible for their performance delivery and performance management and development, providing coaching and continuous improvements with overall accountability on the delivery outputs in Financial Crime projects or workstreams.
  • Taking a leading role in driving change and innovation for Financial Crime projects and regulatory changes now and in the future, understanding FCA requirements and expectations within Financial Crime
  • Overseeing the reporting and investigation of suspicious activity reporting liaising with the MLRO

Our ideal candidate for the Head of Financial Crime opportunity:

  • Must hold a recognised Financial Crime qualification, holding other Banking qualifications would also be beneficial
  • Has in-depth operational knowledge of bank processes and key regulatory/legal issues
  • Possesses substantial knowledge of banking technology, payment systems and processes, telephony etc
  • Has extensive experience of leading and delivering SME Financial Crime teams and frameworks including compliance requirements and expectations (ideally within commercial banking)
  • Has extensive people leadership experience and presentation, analytical and communication skills
  • Is highly numerate and an analytical thinker

If you’re interested in the Head of Financial Crime position and you have the necessary skills and qualifications, please submit an updated CV today.

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Lichfield, WS14 9BW

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(+44) 121 643 2100

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enquiries@kindconsultancy.com

A specialist recruitment and executive search firm specialising in interim and permanent Governance, Risk, Compliance, Complaints, Financial Crime and Change & Transformation roles across Financial Services

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Registered Address: Kind Consultancy Ltd – St. James House St. James Square CHELTENHAM Gloucestershire, England GL50 3PR

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