Compliance, Audit & Training Officer, North of England, £35,000 -

Compliance, Audit & Training Officer, North of England, £35,000

| Job ID: CMRCAT001 | £30000 - £35000 per annum


Cummins Mellor seek a commercial, persuasive and detail orientated individual to join their rapidly expanding business.

Working with clients across the UK, your role will involve auditing, training and supporting clients in the financial services industry to maintain the highest levels of compliance against FCA standards.

A key part of the business’s long term future, this role allows complete autonomy over the client network with regards maintaining compliance, training processes and sustained auditing. The ideal candidate will be an excellent communicator and will have experience working within FCA regulations, ideally within the commercial property sector.

Our client offer a proven track record of delivering first class asset finance services and therefore are highly regarded within their industry. You will join a team with a wealth of experience in the sector and will subsequently benefit from intensive training and ongoing support from their warm and welcoming team.

The successful candidate will be comfortable working on client sites across the country and will benefit from a company car and generous travel allowances. The main company offices are based in Lancashire and North Yorkshire and fixed office space is available at these locations; the company do promote flexible and home working.

Our client has a strong reputation and a passion for developing its employees and they seek a candidate who wishes to embrace the company’s ambitious growth plans.

As a Compliance, Audit & Training Officer your role will include:

  • Reviewing client records and ensuring all documents and processes are correct and stored in the bespoke system
  • Conducting annual reviews and audits at client sites
  • Identifying and offering guidance to clients on regulated mortgage contracts including 2nd charge lending, consumer buy to lets and regulated bridging
  • Recording and reporting any rule breaches on a weekly basis
  • Checking that all financial promotions (including websites and social media) meet the regulatory requirements prior to final sign off
  • Assisting customers with training requirements on the bespoke system
  • Liaising with the businesses wider network to ensure that standards are upheld
  • Reporting findings to the Compliance Officer on a weekly basis
  • Addressing and advising upon general compliance queries when they arise
  • Maintaining and developing knowledge of the regulatory and compliance environment
  • Identifying and measuring compliance vulnerability/risks in order to be able to assess the impact and likelihood of a particular risk materialising
  • Implementing corrective action/resolution plans where instances of non-compliance or other problems that need to be addressed have been identified

The successful Compliance, Audit & Training Officer will:

  • Possess financial services industry knowledge
  • Have knowledge in some of the following areas: commercial lending & bridging, property, mortgages, buy to let, financial services, asset finance
  • Qualifications and accreditations from CeMAP, the CII or the LIBF are desirable but not essential
  • Determine best practice standards based on regulatory and legislative requirements
  • Have high levels of accuracy and attention to detail
  • Be driven by high standards, quality assurance and delivering a first class customer experience
  • Possess Strong IT Skills (Data Base, Microsoft Office, Excel, Word)
  • Be highly organised with the ability to multitask and prioritise activities in line with business needs
  • Have a proven capability to build strong relationships at all levels

Our client can offer:

  • A company car
  • Continual career development opportunities and training
  • 28 days annual leave (Incl. Bank Holidays) plus service days up to 5 years
  • Flexible working patterns
  • Autonomy and independence in your role
  • Free parking and easy access to the East Lancashire road network


This is a fantastic opportunity for a driven and independent individual to join a company with ambition and passion for developing its people. The successful candidate will be a logical thinker, an excellent communicator, and will be committed to driving the business forward through maintaining and developing the highest standards of compliance.

To apply for this role please apply online today or contact Helen on 01254 239363 for further details.

Cummins Mellor is a family run employment agency who have been serving businesses across East Lancashire for over 27 years. We pride ourselves on sourcing the highest quality, temporary and permanent talent for local employers. If this particular role isn’t what you’re looking for then please take a look at our website for other available opportunities.

Due to consistently high volumes of applications, Cummins Mellor are unable to contact all applicants directly. Should you not hear from us within 2 weeks of application, please consider your application to be unsuccessful. We apologise for any inconvenience this may cause.

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