Compliance Officer – Mortgage Brokerage

About the role

We are a growing mortgage brokerage seeking a diligent Compliance Officer to support our advisers and ensure our processes meet FCA expectations, Consumer Duty principles and internal policies. You will play a key role in maintaining high compliance standards across mortgage and protection advice.

Key responsibilities

• Conduct pre‑sale and post‑sale file reviews for mortgage and protection cases, assessing suitability, affordability evidence, disclosure and documentation quality.
• Provide practical guidance, coaching and feedback to advisers and support staff.
• Monitor compliance trends, identify recurring issues and recommend improvements.
• Assist with policy maintenance, checklists and compliance monitoring plans.
• Support complaint handling, breach reporting, remedial actions and root‑cause analysis.
• Ensure vulnerable customer considerations are identified, documented and managed.
• Maintain accurate compliance records and produce management information for senior leadership.
• Stay up‑to‑date with regulatory developments affecting mortgage and protection advice.

Required profile

• Experience in mortgage compliance, file checking, quality assurance or advisory supervision within a regulated financial services environment.
• Strong understanding of mortgage advice processes, FCA regulation, suitability requirements and Consumer Duty expectations.
• CeMAP or equivalent mortgage qualification.
• Excellent attention to detail and ability to review files objectively and consistently.
• Confident communicator able to give clear, constructive feedback.
• Organised, methodical and capable of managing multiple priorities.

Required skills