Compliance Technical Specialist

Compliance Technical Specialist – Risk & Compliance

Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions.

We are keen to recruit a Compliance Technical Specialist (reporting to our Head of Compliance) to join our large and

highly experienced Compliance and Risk team supporting LSL’s Financial Services Division.

This role presents an exciting opportunity for a highly experienced 2nd line Compliance professional to contribute to the

success of our Financial Services Division. The successful candidate will support the delivery of the firm’s compliance

framework through the provision of technical advisory services, identification of actions required to comply and completion of actions alongside 1st and 2nd line teams. Working collaboratively with first-line teams, the role helps ensure technical compliance is translated to both, ensuring alignment with risk appetite and operational delivery.

The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly

Home Working

(hybrid)

We estimate no more than 1 – 2 days per week in the office.

Main Accountabilities

• Policy Framework – maintain and update compliance policies and guidance for the LSL FSD Network and AR firms, ensuring they remain an accurate, regulatory compliant and issued in a timely manner
• TMA Support –
• provide high quality technical advice and responsive service to TMA firms and internal teams, addressing a wide range of queries that require deeper regulatory insight and escalating issues where appropriate
• Change Initiatives -contribute as a 2nd line specialist to business and regulatory change projects, ensuring compliance requirements are identified, understood, and implemented effectively.
• Stakeholder communication – communicate regulatory changes, their implications, and recommended actions clearly and effectively to key business stakeholders
• Regulatory expertise and interpretation – act as the Subject Matter Expert (SME) on FCA regulatory and legal requirements, providing practical and understandable guidance to ensure compliance and alignment with business objectives
• Support for Appointed Representatives – oversee and ensure the delivery of exceptional support to appointed representatives via the compliance inbox and inbound calls, contributing to the business’s vision.
• Hygiene Factors – support the continued development, implementation and compliance of critical business areas including conflict of interest, anti-bribery and corruption, whistleblowing, and where applicable fraud and AML risk assessments
• Team leadership and development – lead, manage and develop the Compliance Technician ensuring high performance, effective collaboration and professional growth.
• Team training and supervision – oversee the training and development of the Compliance Technician, to ensure they have the necessary skills and knowledge to perform their role effectively.

Knowledge And Expertise Required

• Expert level of knowledge of the FCA Handbook and the regulatory framework governing mortgage, protection, and insurance market. In particular, the Appointed Representative Regime, Approved Persons, Consumer Duty and SM&CR.
• A good understanding of other industry rules relevant to the Network model, for example, GDPR
• Strong communication skills (verbal and written). Be able to speak as a SME on all regulatory topics to the first line on regulatory matters
• Expert level of knowledge of mortgages, later life lending, protection and general insurance products and an in-depth understanding of the sales process and file standards required.
• Excellent knowledge of compliance sales supervision and monitoring procedures, preferably with experience of this in Networks
• Ability to work independently and in a highly flexible manner.
• 5+ years Financial Services experience, ideally in second line roles
• Experience of interpretation and providing advice and challenge to first line business stakeholders
• Achieved the Certificate in Mortgage Advice and Practice (CeMAP) – as a minimum
• Ideally you will have achieved an industry recognised professional compliance qualification, for example, ICA Diploma in Governance, Risk & Compliance is preferable.

Salary - £60,000 - £65,000 DOE plus plc linked benefits

Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office.

Internal LSL group candidates must discuss with their immediate line manager in the first instance.

If you are interested in applying for this position, please forward your CV with covering letter in confidence to ***email_hidden*** of the in house recruitment function here at PRIMIS / LSL

We are an equal opportunity and Disability Confident employer, dedicated to building a diverse and inclusive workplace. We welcome applications from people of all abilities and backgrounds, and we do not discriminate based on disability or individual needs. If you require any reasonable adjustments during the recruitment process, please let us know.

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