Compliance Officer

Broadgate; Horsham; On-site; GBP 35,000 - 50,000; Full time

Job summary

A leading financial services network is looking for a Compliance Supervisor in Horsham. The role involves ensuring regulatory compliance through audits, file reviews, and providing support to advisers. Ideal candidates will have strong knowledge of FCA rules and relevant qualifications, ensuring firms maintain a high standard of consumer outcomes.

Qualifications

• Strong knowledge of FCA rules (COBS, SUP, DISP).
• Experience in compliance monitoring and adviser support.
• Compliance qualification is required.

Responsibilities

• Conduct risk-based compliance audits.
• Review client files for suitability and regulatory adherence.
• Provide compliance and technical support to advisers.

Skills

Knowledge of FCA rules

Experience in compliance monitoring

Clear communication

Strong judgment

Flexible approach

Education

Compliance qualification

Certificate in Financial Planning (CII or equivalent)

Job description

Job Title: Compliance Supervisor

Location: Horsham

Overview:

An established financial services network is seeking a Compliance Supervisor to support regulatory oversight, promote a strong compliance culture, and help ensure firms deliver good consumer outcomes. The role involves audit work, file reviews, technical support, and regulatory guidance.

Responsibilities:

1. Conduct risk-based compliance audits
2. Review client files for suitability and regulatory adherence
3. Approve financial promotions and support firms with advertising standards
4. Provide compliance and technical support to advisers
5. Handle complaints fairly and assist with root cause analysis
6. Conduct due diligence on providers and assist with regulatory projects
7. Act as a key contact for field staff and advisers

Requirements:

• Strong knowledge of FCA rules (COBS, SUP, DISP)
• Experience in compliance monitoring and adviser support
• Compliance qualification
• Clear communication, strong judgment, and a flexible approach

Ideal:

• Certificate in Financial Planning (CII or equivalent), diploma preferred or in progress
• Experience with Financial Promotions