About Landmark Specialist Finance
Landmark Specialist Finance is a growing UK mortgage and protection brokerage committed to delivering exceptional customer outcomes while maintaining the highest standards of regulatory compliance, governance, and operational excellence.
As our business continues to expand, we are seeking a Compliance Officer / Quality Assurance & Regulatory Officer to support our compliance framework, adviser oversight activities, quality assurance processes, and regulatory monitoring programme. This role will play a key part in ensuring that the business continues to meet its regulatory obligations while supporting future growth initiatives.
Role Purpose
The Compliance Officer will be responsible for conducting quality assurance reviews, monitoring adviser activity, supporting regulatory compliance initiatives, identifying and mitigating compliance risks, and promoting good customer outcomes across the business.
The successful candidate will work closely with advisers, management, and operational teams to ensure adherence to FCA requirements, Consumer Duty principles, and internal policies and procedures.
Applicants must hold:
CeMAP (Certificate in Mortgage Advice and Practice)
CeFA (Certificate for Financial Advisers)
In addition:
Applicants currently studying towards CeRER or willing to complete the qualification will be viewed favourably.
Key Responsibilities:
- Support and maintain the firm's compliance framework, ensuring adherence to FCA regulations, Consumer Duty and internal policies.
- Conduct compliance monitoring, mortgage and protection file reviews, assessing suitability, regulatory compliance and documentation quality.
- Identify regulatory risks, trends and areas for improvement, providing constructive feedback and supporting remediation activities.
- Assist with regulatory reporting, audit preparation, governance processes and maintaining accurate compliance records and audit trails.
- Monitor regulatory developments, escalate material risks where appropriate, and contribute to continuous improvement across the business
Essential Experience:
- Experience within a UK regulated mortgage, protection, or financial services environment, including:
- Compliance monitoring and oversight
- Quality assurance and file reviews
- FCA regulations and Consumer Duty
- Mortgage advice processes and suitability assessments
- AML, KYC, and financial crime controls
- Audit preparation and regulatory documentation
- Root cause analysis and remediation
- Adviser support and stakeholder engagement
- Experience using adviser and CRM platforms such as Smartr365 & Acre or similar mortgage and protection systems.
Operational & Leadership Experience
Experience in the following areas would be advantageous:
- Managing compliance processes and workflows
- KPI monitoring and performance reporting
- Escalation management and issue resolution
- Process improvement initiatives
- Supporting business growth within a regulated environment
- Working with governance, operational, and senior leadership teams
- Managing or coordinating teams in structured reporting environments
Personal Attributes
We are looking for someone who is:
- Detail-oriented and highly organised
- Analytical and solution-focused
- Confident communicating with advisers and senior stakeholders
- Capable of working independently and taking ownership
- Committed to delivering good customer outcomes
- Passionate about maintaining high regulatory standards
What We Offer
- Competitive salary of £48,000 – £50,000 per annum
- Company pension scheme- 25 days annual leave plus bank holidays
- Paid study support for relevant qualifications, including CeRER
- Annual salary review
- Performance-related bonus opportunities
- Employee referral bonus scheme
- Health and wellbeing support initiatives
- Exposure to senior leadership and strategic business initiatives
Please email your CV over to [email protected] , if you're interested in this role.
Pay: £48,000.00-£50,000.00 per year
Benefits:
- Company pension
- UK visa sponsorship
Work Location: In person
