Compliance Supervisor

Eden Scott; Aberdeen City; On-site; GBP 42,000 - 58,000; Full time

Job summary

Eden Scott is recruiting a Compliance Supervisor in Aberdeen for a growing financial planning business. The role supports the firm's compliance framework and regulatory obligations, delivering positive client outcomes.

You will monitor FCA regulations and assist with risk assessments, governance activities and regulatory reporting. A background in financial services and strong communication are essential.

Qualifications

• Experience working within the financial services sector.
• Good understanding of FCA regulatory requirements.
• Knowledge of Consumer Duty and SM&CR.
• Strong analytical and problem-solving skills.
• Excellent written and verbal communication skills.
• High levels of accuracy and attention to detail.
• Ability to build relationships and influence stakeholders across the business.

Responsibilities

• Conduct file reviews and suitability checks to assess advice quality and regulatory compliance.
• Maintain compliance registers, monitoring logs and accurate record keeping.
• Monitor changes in FCA regulations and industry developments.
• Support the ongoing enhancement of compliance and risk frameworks.
• Assist with risk assessments, controls testing and governance activities.
• Support regulatory reporting and interactions where required.
• Investigate compliance issues, identify root causes and help implement corrective actions.
• Assist with financial crime prevention activities, including AML, sanctions and fraud controls.
• Provide practical compliance guidance to advisers and support staff.
• Review client communications and marketing materials.
• Produce clear and accurate management information and compliance reports for senior stakeholders.
• Support training and competency initiatives across the business.

Skills

Analytical thinking

Communication

Attention to detail

Stakeholder management

Regulatory reporting

File reviews

AML/ Sanctions

Education

DipPFS or equivalent

Job description

COMPLIANCE SUPERVISOR

Aberdeen | Competitive Salary + Benefits

Our client, a well-established and growing financial planning business, is seeking a Compliance Supervisor to join their team in Aberdeen.

This is an excellent opportunity for an experienced compliance professional or someone with a strong regulatory background from within financial advice, paraplanning, banking, operations management, practice management, risk, quality assurance, or training & competency who is looking to progress their career within compliance and risk oversight.

The successful candidate will play a key role in supporting the firm's compliance framework, ensuring regulatory obligations are met and helping deliver positive client outcomes.

Key Responsibilities

• Conduct file reviews and suitability checks to assess advice quality and regulatory compliance.
• Maintain compliance registers, monitoring logs and accurate record keeping.
• Monitor changes in FCA regulations and industry developments.
• Support the ongoing enhancement of compliance and risk frameworks.
• Assist with risk assessments, controls testing and governance activities.
• Support regulatory reporting and interactions where required.
• Investigate compliance issues, identify root causes and help implement corrective actions.
• Assist with financial crime prevention activities, including AML, sanctions and fraud controls.
• Provide practical compliance guidance to advisers and support staff.
• Review client communications and marketing materials.
• Produce clear and accurate management information and compliance reports for senior stakeholders.
• Support training and competency initiatives across the business.

Candidate Profile

We are keen to speak with individuals who have gained experience within:

• Compliance or Risk
• Independent Financial Advice (IFA)
• Paraplanning
• Banking and Retail Financial Services
• Practice Management
• Operations Management
• Training & Competency
• Quality Assurance / File Reviewing
• Governance and Regulatory Oversight

Skills & Experience

Essential

• Experience working within the financial services sector.
• Good understanding of FCA regulatory requirements.
• Knowledge of Consumer Duty and SM&CR.
• Strong analytical and problem-solving skills.
• Excellent written and verbal communication skills.
• High levels of accuracy and attention to detail.
• Ability to build relationships and influence stakeholders across the business.

Desirable

• Level 4 Diploma in Financial Planning (DipPFS) or equivalent.
• Previous experience within a compliance, risk or governance function.
• Experience conducting file reviews and suitability assessments.
• Knowledge of pensions, investments, platforms and protection products.
• Experience supporting adviser oversight, quality assurance or training & competency frameworks.