Compliance Supervisor

JR United Kingdom; North East; Remote; GBP 40,000 - 60,000; Full time

Job summary

A leading UK financial advice network is seeking a Compliance Firm & Adviser Supervisor to ensure compliance with FCA regulations and support AR firms. This remote role involves monitoring compliance, providing training, and conducting risk assessments, with some travel required. Ideal candidates will have significant experience in financial services, particularly in supervision or advisory roles, and relevant qualifications.

Qualifications

• 5+ years in a regulated financial services environment.
• Background in investments or mortgages.
• Willingness to work towards Level 4 Diploma.

Responsibilities

• Monitor AR firms’ compliance with policies and FCA regulations.
• Provide training and development to new and existing representatives.
• Conduct risk assessments and recommend action plans.

Skills

Compliance Monitoring

Risk Assessment

Training and Development

Education

CeMap Qualification

Financial Planning Certificate

Level 4 Diploma

Job description

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Job Title: Compliance Firm & Adviser Supervisor

Location: Remote working (20% site visits)

Opportunity to work for a leading UK financial advice network, committed to delivering high-quality support to advisers and ensuring compliance with FCA regulations.

You will support the supervision of Appointed Representative (AR) firms, ensuring compliance with company policies, FCA regulations, and high professional standards. The role involves regular travel and some visits to Head Office.

Key Responsibilities

• Monitor AR firms’ compliance with policies and FCA regulations.
• Assess risk and competence of individual representatives.
• Provide training and development to new and existing representatives.
• Conduct risk assessments and recommend action plans to mitigate compliance risks.
• Report any concerns regarding AR firms to senior management.

What We’re Looking For

• 5+ years in a regulated financial services environment, ideally in a supervision or advisory role.
• Investments or mortgages background
• CeMap Qualification needed
• Financial Planning Certificate
• Level 4 Diploma (desirable) - happy to work towards