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Generated batch 1 role map

Section 250 map for mortgage broker compliance leads

A compliance lead in a mortgage broking firm may require s.250(3) review where their authority affects adviser supervision, advice-quality controls, complaints, or governance reporting across a substantial part of the business. This pilot is designed for claim-safe role mapping, not statistical ranking.

Functional-test signals

These signals are prompts for review. They do not decide the legal answer; they show what a compliance team should evidence when assessing whether the role plays a significant role in managing or organising the firm.

Authority over advice-quality monitoring, adviser supervision, file-review standards, or remediation plans.

Power to approve compliance policies, training requirements, or escalation procedures used across adviser teams.

Responsibility for complaint handling, regulatory reporting inputs, or customer-harm remediation.

Participation in leadership or risk forums where compliance decisions shape how the firm is managed or organised.

Evidence to collect

  1. Record the compliance responsibilities being assessed under the s.250(3) functional test.
  2. Cross-reference the role against SM&CR records, compliance-monitoring plans, complaint logs, training records, and committee terms.
  3. Document why the role is included, excluded, or flagged for legal review.
  4. Attach the conclusion to the governance evidence pack and renewal cadence.

Asset-backed coverage context

These aggregate values come from the latest coverage asset rows. They describe source-role coverage quality only; they do not decide whether compliance lead in mortgage broking satisfies the statutory test.

Sample firms in latest coverage asset

3

Source roles in latest coverage asset

33

SMF holders in latest coverage asset

33

Unresolved source roles in latest coverage asset

0

Source date2026-05-19
Methodologycoverage-derivation-v1
Output hasha5dae2ee03f9

Asset-derived source-role context only; not a Section 250 exposure determination.

Caveats

  • The s.250 test is functional, not title-based. A job title alone is not enough.
  • SM&CR is a useful baseline, not the statutory boundary.
  • Section 250 is corporate attribution, not a failure-to-prevent offence.
  • This page is general information and not legal advice on any specific role.

No benchmark count is claimed on this pilot page. The page uses a thin data stub until Phase 2 supplies a measured FCA-register and coverage dataset.

Sources