Compliance Consultant

Vacancy Location: UK\-Solihull Job Profile:
Compliance Technician – 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 Technician (reporting to Compliance Technical Specialist) to join our large and
highly experienced Compliance and Risk team supporting LSL’s Financial Services Division.

The successful candidate will support the Compliance Technical Specialist with the the delivery of the firm’s compliance framework through the provision of technical advisory services, identification and completion of actions alongside 1st and 2nd line teams.

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 FS Division and AR firms, ensuring they remain accurate, regulatory compliant and issued in a timely manner

• TMA Support – provide compliance support to TMA (DA) firms and internal teams, addressing queries that require deeper regulatory insight and escalating issues where appropriate


• Research and Interpretation – conduct in\-depth research and interpret regulatory changes, their implications and recommended actions clearly and effectively.


• Support for Appointed Representatives – oversee and ensure the delivery of exceptional service to our appointed representatives via the compliance inbox and inbound calls, contributing to the business’s vision.

• A good 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.


• An understanding of other industry rules relevant to the Network model, for example, GDPR


• Excellent communication skills (verbal and written).


• A good level of knowledge of mortgages, later life lending, protection and general insurance products and an understanding of the sales process and file standards required.


• A good knowledge of compliance sales supervision and monitoring procedures, preferably with experience of this in Networks


• 2\+ years Financial Services experience


• Experience of interpretation and providing advice and challenge to first line business stakeholders


• CeMAP or equivalent qualification is compulsory for this role

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 james.mcnee@primis.co.uk 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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