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Compliance Coordinator

Kind Consultancy is working with a Consumer Credit business that is currently seeking a Compliance Coordinator to join them in a full-time permanent role paying £30,000 to £35,000 dependent on experience and based in the organisation’s North Northamptonshire offices.

The Compliance Coordinator will work with the Compliance Manager to deliver the key elements of compliance assurance, with responsibilities including:

  • Assisting with implementation and review of policies, procedures, and processes necessary to maintain a robust culture of compliance.
  • Ensuring that enterprise-wide initiatives are undertaken with consideration of all applicable regulatory requirements, with a particular focus on Financial Conduct Authority Consumer Credit obligations and Data Protection.
  • Maintaining the Financial Services and Data Protection policies and procedure documents in line with all regulatory and business requirements.
  • Conducting compliance-related activities necessary to maintain authorisation to conduct Consumer Credit business activities in the UK.
  • Providing management information on assurance findings and associated remediation plans on a regular basis to the management team and key stakeholders to keep them informed of the operation, progress, and effectiveness of the compliance monitoring plan.
  • Assisting in the delivery of compliance regulatory training programme, including appropriate introductory training for new staff as well as ongoing training for all employees and managers.
  • Monitoring the performance of the compliance assurance programme and recommending appropriate steps to improve its ongoing effectiveness.
  • Recommending corrective action plans for resolution of any problematic issues.
  • Assisting with, and where required, managing compliance projects (as part of the overall Compliance Monitoring Plan).
  • Developing and maintaining effective relationships with internal stakeholders, all appropriate regulatory bodies and other relevant third parties (e.g. external advisors).
  • Collaborating with other departments such as legal, credit, portfolio management and customer service to investigate and resolve compliance issues as they arise. Ensuring consistent and timely handling of regulatory issues.

Our ideal candidate for the Compliance Coordinator role:

  • Has experience of Quality Assurance, Complaints and Customer Service work within Financial Services – preferably in a Consumer Credit environment
  • Having experience of working as part of a Compliance function within Financial Services or experience of working within an FCA approved Consumer Credit firm would be highly desirable, as would an awareness of key FCA topics such as customer vulnerability, consumer duty requirements and SYSC requirements.
  • Has excellent written and verbal communication skills and strong IT skills including Microsoft Office
  • Has well-developed project management and organisational skills.
  • Enjoys travel and is willing to regularly visit sites across the UK

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

Mortgage Underwriter

Kind Consultancy is working with a well-established, long succesful Retail Financial Services organisation which is currently seeking a Mortgage Underwriter to join them in a full-time, permanent role with a hybrid work model based out of their Lancashire office, paying up to £35,000.

With a focus on providing an efficient, professional underwriting service to customers and intermediaries, key responsibilities of the Mortgage Underwriter will include:

  • Processing mortgage Decision in Principle (DIP) requests from intermediaries within SLA.
  • Processing mortgage applications on the organisation’s software system and completing all procedural administrative documentation efficiently liaising with the customer during the application process.
  • Maintaining accurate records and notes throughout all stages of the mortgage application.
  • Approving mortgage applications (direct and introduced) within specified limits in accordance with the Lending Policy.
  • Considering mortgage applications outside standard lending policy where a justifiable business reason exist.
  • Presenting out of criteria cases to the Credit Risk Committee with appropriate recommendations and rationale.
  • Maintaining professional business relationships with BDMs, mortgage introducers and external contacts, providing information and guidance when required.
  • Maintaining knowledge and complying with all legal responsibilities and codes of conduct to which the business must comply with i.e. Vulnerable Customers, AML, MCOB, DPA, FCA etc.
  • Meeting all requirements of the Training & Competence scheme.
  • Dealing with customer dissatisfaction and complaints as required.
  • Identifying opportunities for continuous improvement of products, policy, processes and procedures

Our ideal candidate for the Mortgage Underwriter opportunity:

  • Must hold 5 GCSEs at Grade C or above including Maths and English or equivalent.
  • Has excellent communication skills both written and verbal.
  • Is experienced in the use of Microsoft packages and is a confident user of Word and Excel.
  • Is able to independently manage multiple tasks
  • Demonstrates consistently strong attention to detail

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

Operational Resilience & Business Continuity Manager

Kind Consultancy is working with a well-established Retail Financial Services business which is currently seeking an Operational Resilience & Business Continuity Manager to join them in a permanent, full-time role paying up to £50,000 with a hybrid work model based in their Staffordshire offices.

The Operational Resilience & Business Continuity Manager will support the organisation’s ability to anticipate, prepare for, respond to, and recover from disruptive events, ensuring compliance with regulatory expectations, with key responsibilities including:

  • Supporting the development, implementation, and continuous improvement of operational resilience strategies and business continuity plans across the business.
  • Designing and executing scenario testing exercises to assess the organisation’s preparedness for disruptive events.
  • Supporting business process owners with process mapping activities to ensure critical business processes are identified and protected.
  • Ensuring that contingency plans are maintained, regularly tested, and updated based on evolving risks and business needs.
  • Working with cross-functional teams to identify vulnerabilities and potential risks to business operations, developing strategies to mitigate them.
  • Supporting with managing risk events and incidents, coordinating response efforts to minimise operational disruption.
  • Ensuring all operational resilience and business continuity efforts align with regulatory requirements and industry standards.
  • Maintaining awareness of evolving regulatory expectations and adjusting plans accordingly.
  • Supporting the business in managing third-party relationships, ensuring vendors and service providers have appropriate resilience and continuity plans in place.
  • Providing regular reports to senior management on the state of operational resilience, risks, incidents, third party supplier assurance and the effectiveness of continuity plans.
  • Identifying areas for improvement in operational resilience practices, leveraging lessons learned from testing, incidents, and risk assessments to enhance the organisation’s preparedness.
  • Ensuring all documentation related to resilience and continuity, including annual self-assessment, policies, procedures, and plans, is current, accurate, and effectively communicated to relevant stakeholders.

Our ideal candidate for the Operational Resilience & Business Continuity Manager opportunity:

  • Has experience of managing operational risks within a regulated Financial Services organisation
  • Has an excellent understanding of Operational Resilience and Business Continuity activities
  • Possesses very strong regulatory knowledge, including a high level understanding of SS1/21 – Operational Resilience, TCF/Conduct Risk and AML
  • Is a confident user of all Microsoft Office products
  • Is highly organised with strong time management skills

If you are interested in the Operational Resilience & Business Continuity Manager opportunity, you have the necessary skills, knowledge and experience, and you are based in or can commute to Staffordshire, please apply with an updated CV today.

Compliance Monitoring Officer

Kind Consultancy is working with a large, national Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent position paying up to £32,000 with a hybrid work model requiring 2-3 in-office days per week in their Milton Keynes offices.

The Compliance Monitoring Officer will support the delivery of second line monitoring across the business, with key responsibilities including:

  • Contributing to the preparation of the Compliance Monitoring Plan, which is risk-based, and approved by the Group Risk & Compliance Director and Group Audit & Risk Committee.
  • Preparing regular, timely, relevant and concise reporting on the Monitoring findings for management, including recommendations for addressing any weaknesses identified.
  • Tracking and reporting on the progress of remedial actions and where appropriate, guiding management in implementing necessary improvements.
  • As required, acting as “Lead Monitoring Officer” to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
  • Working closely with key business areas and stakeholders, for example the Case Checking Team, across the business to implement the agreed approach to Compliance Monitoring.
  • Staying updated on best practices and external developments in the area of Monitoring and ensure that learning is applied.
  • Undertaking special investigations as required in response to breaches or other issues arising.
  • Identifying and escalating at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.
  • Conducting onsite visits as required to enable planning, testing and reporting to take place.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Must have relevant experience within Financial Services industry, with particular knowledge of mortgage services.
  • Has a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
  • Is a team player, with the ability to work unsupervised.
  • Has a proven ability to build strong and effective working relationships with stakeholders.
  • Demonstrates consistently strong attention to detail and ability to deliver high quality written work and reporting.
  • Displays effective oral and written communication skills.
  • Has the confidence and credibility to provide appropriate and commercial challenge to the business.
  • Holding a professional mortgage qualification (CF1, CF6) or being willing to study for one would be desirable, as would holding a professional compliance qualification (ie. ICA Diploma or Advanced Certificate)

If you’re interested in the Compliance Monitoring Officer position and you have the necessary skills, knowledge and experience and live in or can commute to Milton Keynes, please apply with an updated CV today.

Paraplanner

Kind Consultancy is working with a succesful, national Wealth Management firm which is currently seeking a Paraplanner to join them in a permanent role paying £35,000 to £50,000 dependent on experience. This role will have a hybrid work model to be based out of the firm’s Wolverhampton, Stockport or Newcastle offices – candidates must be able to commute to one of these locations.

The Paraplanner will support the firm’s Financial Planners by conducting research, preparing reports, and ensuring that clients receive the best advice based on thorough analysis, with key responsibilities including:

  • Preparing detailed financial reports and recommendations.
  • Conducting research on financial products and market trends.
  • Assisting Financial Planners in developing client strategies.
  • Ensuring compliance with regulatory requirements.

Our ideal candidate for the Paraplanner opportunity:

  • Holds a minimum of a Diploma in Financial Planning or equivalent, and wishes to aspire to be Chartered and a CFP.
  • Has experience in paraplanning or similar role involving the use of Cashflow planning tools and CRM systems.
  • Demonstrates strong analytical and research skills.
  • Has good knowledge of financial products and the current regulatory environment.
  • Has a keen eye for detail

If you’re interested in the Paraplanner opportunity, you have the skills, experience and qualifications we’re looking for, and you’re based in or can commute to Newcastle, Stockport or Wolverhampton, please apply with an updated CV today.

Financial Planner

Kind Consultancy is working with a succesful, national Wealth Management firm which is currently seeking a Financial Planner to join them in a permanent role paying £50,000 to £80,000 dependent on experience. This role will have a hybrid work model to be based out of the firm’s Wolverhampton, Stockport or Newcastle offices – candidates must be able to commute to one of these locations.

The Financial Planner will work directly with clients to understand their financial goals and develop tailored strategies to help them achieve these goals, with key responsibilities including:

  • Developing comprehensive financial plans for clients.
  • Providing advice on investments, pensions, insurance, and tax planning.
  • Building and maintaining long-term relationships with clients.
  • Staying updated on market trends and regulatory changes.

Our ideal candidate for the Financial Planner position:

  • Is qualified at least to a Diploma level, and is on track to be Chartered and Certified Financial Planner (CFP) or equivalent.
  • Has proven experience as a Financial Planner or Advisor.
  • Demonstrates strong interpersonal and communication skills.
  • Is able to quickly build trust and rapport with clients.
  • Is committed to and passionate about providing independent and unbiased Financial Planning.

If you’re interested in the Financial Planner opportunity, you have the necessary skills, experience and qualifications, and you live in or can commute to Newcastle, Stockport or Wolverhampton, please apply with an updated CV today.

Training & Competence Supervisor

Kind Consultancy is working with a succesful, growing Wealth Management firm which is currently seeking a Training & Competence Supervisor to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model requiring 2-3 in-office days per week in their Birmingham office.

The Training & Competence Supervisor will support the delivery of an effective Training & Compliance function, implementing and maintaining high standards, with key responsibilities including:

  • Providing compliance guidance and training to relevant employees of the business
  • Drafting and updating Training & Compliance policies and procedures
  • Working closely with the Head of Compliance to support all business areas with compliance related issues
  • Understanding complex management and regulatory information and translating it into easy to understand forms for key stakeholders
  • Conducting regular internal reviews to ensure that compliance procedures are followed
  • Ensuring that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees)
  • Developing clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
  • Measuring and reporting meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
  • Maintaining appropriate records to evidence compliance with the FCA’s Training and Competency requirements, documenting all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
  • Ensuring all staff (including new staff) are aware of the firm’s complaints handling procedures.
  • As instructed by the Head of Compliance, review any complaints against the firm and deal with them in accordance with the Regulator’s complaints handling rules

Our ideal candidate for the Training & Competence Supervisor role:

  • Has a background in IFA or Mortgage related work
  • Has significant experience of delivering training, preferably relating to compliance within Financial Services
  • Has an in-depth understanding of current UK Financial Services regulations
  • Holding a Level 4 Diploma in Regulated Financial Planning would be highly desirable

If you have the skills, qualifications, knowledge and experience we’re looking for, you live in or can commute to Birmingham and you’re interested in the Training & Competence Supervisor position, please apply with an updated CV today.

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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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