Trinity Finance (London)
Compliance Officer
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Compliance Officer – Mortgage Brokerage
Location: Welling
Salary: £35,000 - £40,000
Hours: Full-time
Contract: Permanent
We are a growing mortgage brokerage committed to delivering clear, suitable, and client-focused mortgage and protection advice. As our business continues to develop, we are looking for a diligent and commercially aware Compliance Officer to help maintain high standards, support advisers, and ensure our processes remain aligned with FCA expectations, Consumer Duty principles, and internal policies.
About the Role
The Compliance Officer will play a key role in supporting the firm’s compliance framework across mortgage and protection advice. You will review client files, provide practical guidance to advisers, help identify and manage risk, and ensure the business can evidence good customer outcomes through clear documentation, robust monitoring, and consistent standards.
Key Responsibilities
- Conduct pre-sale and post-sale file reviews across mortgage and protection advice cases.
- Assess suitability, affordability evidence, disclosure, documentation quality, and adviser rationale.
- Support the firm in meeting FCA requirements, Consumer Duty obligations, and internal compliance standards.
- Provide constructive feedback, coaching, and guidance to advisers and support staff.
- Monitor compliance trends, identify recurring issues, and recommend practical improvements.
- Assist with maintaining policies, procedures, checklists, and compliance monitoring plans.
- Support complaint handling, breach reporting, remedial actions, and root-cause analysis where required.
- Help ensure vulnerable customer considerations are identified, documented, and managed appropriately.
- Maintain accurate compliance records and produce management information for senior leadership.
- Keep up to date with regulatory developments affecting mortgage and protection advice.
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About You
- 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 required.
- Excellent attention to detail and the ability to review files objectively and consistently.
- Confident communicator who can give clear, practical, and constructive feedback.
- Organised, methodical, and able to manage multiple priorities to agreed timescales.
- Comfortable working with advisers, administrators, senior management, and external compliance partners where required.
- A proactive approach to improving processes, reducing risk, and supporting good client outcomes.
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What We Offer
- A supportive and professional working environment within a growing mortgage brokerage.
- The opportunity to make a meaningful impact on compliance standards and client outcomes.
- Ongoing professional development and support with relevant training.
- Flexible working arrangements, subject to business needs.
- Competitive salary and benefits package.
- A collaborative culture where compliance is viewed as a practical support function, not just a box-ticking exercise.
How to Apply
If you are an experienced compliance professional with a strong understanding of mortgage advice and a passion for supporting good customer outcomes, we would like to hear from you.
To apply, please send your CV and a brief covering note to andy@trinityfinance.co.uk.
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