Mortgage Perspective
Compliance and Operations Manager (Mortgages and Protection)
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Job Title
Compliance & Operations Manager (Mortgage & Protection)
Reports To
Sales Director
Role Purpose
As the Compliance & Operations Manager, you will be responsible for overseeing the compliance, operational and administrative functions of a growing mortgage and protection brokerage. You will ensure the business maintains the highest standards of regulatory compliance while supporting advisers to deliver exceptional customer outcomes.
Working closely with the Director, you will lead the day-to-day compliance function, support a team of four Mortgage Advisers, two Protection Advisers and three case handlers, and drive continuous improvement across business operations.
Key Responsibilities
Compliance
- Ensure the business complies with all FCA regulations, Consumer Duty requirements and internal compliance procedures.
- Conduct pre- and post-submission file reviews to maintain quality and regulatory standards.
- Monitor adviser performance against regulatory requirements and internal policies.
- Maintain the firm's compliance registers, policies, procedures and documentation.
- Oversee complaint handling, vulnerable customer processes and audit recommendations.
- Liaise with the firm's compliance network, principal firm or external compliance consultants.
- Keep abreast of regulatory changes and implement updates across the business.
Operations
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
- Manage the day-to-day operational and administrative activities of the business.
- Develop and improve operational processes to increase efficiency and support business growth.
- Ensure all mortgage and protection cases are processed accurately and within agreed service standards.
- Monitor workflow and allocate work effectively across the administration team.
- Support Directors with operational planning, reporting and business performance.
Adviser Support
- Provide compliance and technical support to Mortgage Advisers and Protection Advisers.
- Assist advisers with complex mortgage and protection cases.
- Ensure applications meet lender requirements before submission.
- Monitor adviser competence and maintain Training & Competence (T&C) records where applicable.
- Promote best practice and continuous improvement across the adviser team.
Leadership
- Lead, mentor and develop the administration team.
- Conduct regular team meetings and provide coaching where required.
- Foster a culture of compliance, collaboration and exceptional customer service.
- Identify training needs and support ongoing professional development.
Skills & Experience
Essential
- Significant experience within a mortgage and protection environment.
- Strong understanding of FCA regulation, Consumer Duty and mortgage compliance.
- Experience carrying out compliance monitoring and file checking.
- Excellent knowledge of mortgage and protection administration.
- Strong organisational and problem-solving skills.
- Excellent communication and stakeholder management abilities.
- Ability to manage multiple priorities in a fast-paced environment.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
Desirable
- Experience managing or mentoring a team.
- Knowledge of Training & Competence (T&C) requirements.
- Experience working within an Appointed Representative or Directly Authorised firm.
- CeMAP qualification or equivalent financial services qualification.
Personal Attributes
- Highly organised and detail-oriented.
- Proactive with a continuous improvement mindset.
- Professional, approachable and supportive.
- Able to work independently while building strong relationships across the business.
- Committed to delivering positive customer outcomes and maintaining high regulatory standards.
Success Measures
The successful candidate will:
- Maintain a robust compliance framework with excellent audit outcomes.
- Ensure advisers consistently meet regulatory and quality standards.
- Improve operational efficiency and administrative performance.
- Support the continued growth of the business through effective leadership and process improvement.
- Help create a culture of compliance, professionalism and outstanding customer service.
Salary
c£50,000 depending on experience
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills