Deputy Compliance Officer

We are recruiting for a Deputy Compliance Officer to join our Risk and Compliance team in Bristol. 

TLT is a firm of solicitors which is authorised and regulated by the Financial Conduct Authority (FCA) for administering regulated mortgage contracts and arranging insurance.

The majority of TLT’s FCA regulated activities involve mortgage administration carried out in our Banking and Lender Services Group. Insurance mediation is predominantly carried out in the Real Estate Group (REG).

TLT has a Three Lines of Defence model. You will be part of the Second Line in the Risk and Compliance team and report into the Compliance Officer (SMF 16).

Your Role

Responsibilities are varied, and include:

• Helping to ensure the firm is compliant with the FCA Handbook and reporting on this to Senior Management. This includes the Senior Managers and Certification Regime (SMCR), Consumer Duty, treatment of vulnerable customers, complaints, etc.
• Providing advice to fee earning teams on conduct risk and compliance issues to help achieve good customer outcomes and positive regulatory relations.
• Working with and challenging the business to ensure that all regulatory, operational and conduct risks have been identified, assessed and have appropriate controls that are monitored.
• Deputising for the Compliance Officer and making decisions on their behalf.
• Providing the SMF16 and Senior Management with regular MI and operational updates and/or discussion papers and contribute to meetings as required.
• Managing and preparing FCA regulatory reports.
• Regular horizon scanning to identify regulatory and economic changes to assess any impact on our current approach or need for future change (emerging regulatory risk).
• Providing the SMF16 support to understand and adopt regulatory change requirements, provide advice, guidance and challenge in the application of regulatory requirements.
• Maintaining and regularly reviewing policies and procedures to ensure they are clear and accurate.
• Helping to complete the Compliance Monitoring Programme, ensuring activities are fulfilled correctly and on time.
• Conducting thematic reviews on high risk areas. This includes root cause analysis, recommendations and overseeing actions to completion.
• Delivering training on key regulatory issues such as the Consumer Duty.
• Assisting with completing our external client audit requirements and questionnaires.
• Keeping up to date with industry knowledge to ensure appropriate competency levels are maintained, including keeping abreast of FCA and other applicable regulatory developments.

Your Skills and Experience

• We are looking for a compliance professional with experience of working at an FCA regulated firm who has a ‘can do’ attitude with strong influencing and organisational skills.
• A detailed understanding of the regulatory framework to act as an internal adviser /point of contact for the firm.  Expertise in vulnerable customers, complaints and mortgage products and regulation would be useful.
• Excellent communication skills, both written and verbal.
• Demonstrates close attention to detail in order to scrutinise data and identify risks.
• Ability to build and maintain collaborative relationships with others.
• Ability to challenge in a constructive way, and influence others to deliver processes and solutions in line with regulatory and best practice requirements.
• Delivers work to a high standard and leads by example.

Your Team

TLT is known for the way we set new expectations and push the boundaries, but this can never compromise our firm, reputation or clients. The Risk team are there to make sure we are compliant with all our obligations in areas such as Data Protection, SRA and FCA regulation as well as protecting our clients and people. The Risk team includes both experienced lawyers and technical specialists who address an extensive range of regulatory and ethical requirements, thinking both commercially and practically to make sure we remain compliant and true to our values.

About TLT

Fast paced, fast growing and forward thinking, TLT is the law firm that helps clients stay one step ahead, and we do the same for our people.

We work with high profile clients in innovative sectors. With local, national and international reach, we have over 1,400 people in offices across the UK and a network of partner firms across Europe, India and the US. In 2022 we were named Law Firm of the Year at The British Legal Awards, recognising our incredible success story.

Our purpose is to protect, prepare and progress our clients for what comes next and it’s essential that we do the same for our people, our planet and our communities too. In our open and collaborative culture, we encourage everyone to be their whole self, to have a voice and to contribute.

Our Benefits

We value our employees highly and we want you to feel valued. You’ll receive a competitive salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance. 

At TLT we have a progressive fully flexible working approach. We empower our people to work in a place and at a time that meets their needs, those of their clients and of the wider team and firm. Part of this agile approach is a focus on hybrid working and supporting the work/life balance of our people. We’re happy to talk about how flexible working can work for you and this role. 

TLT is committed to creating a diverse and inclusive working environment and encourages applications from all suitably qualified people, regardless of any of the characteristics protected by the laws in the locations in which we operate.

We welcome applications from people with disabilities and are committed to providing reasonable adjustments, where necessary, to make interviews and jobs more accessible. Should you have any difficulty during the recruitment process, require any reasonable adjustments or an application to Access to work please contact the recruitment team on Recruitment.Operations@TLTsolicitors.com