Regulatory Recruitment Officer; Compliance - DERBY

MAB Recruitment
Newton Solney
29 Jul 2017
14 Aug 2017
Contract Type
Full Time

Mortgage Advice Bureau (MAB) are a multi award winning mortgage broker and network and due to continued expansion now require a Regulatory Recruitment Office based in their vibrant, head office in Derby.

Job description

As part of the Regulatory Recruitment team you will be responsible for ensuring that all Advisers, Appointed Representatives and Introducers joining the business are fit and proper. You will act as gatekeeper to mitigate risk to the business, guaranteeing that all are recruited in accordance with our T&Cs scheme.


  • Liaise with key stakeholders (Business Owners, Regional Managers, Applicants) on regulatory requirement matters
  • Conducting internal and external searches on all applicants
  • Evaluating all applications to minimise and manage the risks associated with each
  • Answer any questions from applicants in a direct and friendly manner
  • Representing the company with a positive attitude and professional appearance
  • Carrying out all necessary refencing for all applicants
  • Executing due diligence activities for all advisors
  • Management of agency numbers and adviser trading documents
  • Ongoing management of adviser agency details - processing transfers/changes in licencing authority/lender authorisations
  • Maintaining accurate adviser & business records internally and with providers throughout the adviser/business appointment
  • Perform other administrative duties such as filing, photocopying, etc.

Skills and Requirements

  • Strong attention to detail
  • Tenacious and inquisitive
  • Ability to work to targets and tight deadlines
  • Excellent communication and relationship building skills
  • Dynamic, solution oriented approach
  • Proficient with Microsoft Office Suite
  • Professional appearance
  • Ability to be resourceful and proactive in dealing with issues arising
  • Strong organisational skills and able to work under pressure
  • Educated to GCSE’s grade C or above, inc Maths & English
  • Experience in a similar role would be desirable but not essential

In return, we offer a great working environment with a competitive salary, an initial 22 days’ holiday and would look to further develop your career by offering training and mentoring programs.

If you are keen to pursue a career in Compliance with us, please apply online.