Compliance Officer - Mortgage & Insurance Advice Quality

About UsRockstone Compliance Limited is a successful compliance consultancy firm based in Bath, specialising in providing expert guidance to mortgage, insurance and credit intermediary firms. With a commitment to service excellence, we assist our clients in navigating complex regulatory landscapes and ensuring adherence to industry standards. As a team, we are dedicated to delivering bespoke compliance solutions tailored to our clients' needs.Job Description:We are currently seeking a skilled and detail-oriented Compliance Officer to join our Quality Assurance team. You will be a crucial member of our team, responsible for reviewing and validating mortgage and insurance / protection documentation to ensure adherence to regulatory requirements. This role demands a meticulous approach, a keen eye for detail, and a deep understanding of FCA mortgage / insurance compliance standards. You will also be responsible for the updating of compliance logs as well as other ad hoc regulatory related requests. This is an exciting opportunity for someone with a background in compliance or the mortgage / insurance sales advisory process to contribute to the continued success of our consultancy.The role is being offered on a part time basis, 25 hours a week. The preferred working pattern would be five hours a day, Monday – Friday, but variations will be considered. Team meetings will be held in Bath / Bury St Edmunds or occasionally London on a regular basis, so if you live further afield, you must be willing to travel. Skills, Capabilities and AttributesThe successful candidate will demonstrate the following experience, skills and behaviours:A minimum of 2 years’ experience working within a regulated environment (either within a compliance or sales advisory role),Subject matter expert in at least one of the following areas: regulated mortgage sales or risk management with a working understanding of the FCA regulations of MCOBs & ICOBs.Focussed, essential for spotting compliance risks and failings in highly detailed client files,Ability to prioritise, manage own workload and use time productively,Willing and able to commute to Bath once a month (or more frequently if required),Must be confident, flexible, independent, and self-motivated,Presentable and articulate with the ability to interact with people at all levels,A fast learner with the ability to acquire knowledge swiftly, work with the knowledge and pass it on as necessary,Detail orientated with the ability to work methodically,Able to prioritise tasks and workload to meet tight deadlines,Able to fully satisfy the pre-employment screening process with 6 years referencing, credit screen, and DBS checks.Training & Education Experience working within a regulated environment, preferably relating to mortgages and insurance.CeMAP or other equivalent qualifications are desirable but not essential.If you would like to be considered for this position and have the relevant experience, then please email your CV, along with your salary requirements to

Created: 2025-08-04