Compliance Supervisor

JR United Kingdom; Sunderland; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading UK financial advice network is looking for a Compliance Firm & Adviser Supervisor. The successful candidate will play a crucial role in supervising compliance for Appointed Representative firms while ensuring adherence to FCA regulations. This dynamic role involves monitoring, risk assessment, and providing training, requiring at least 5 years of experience in financial services.

Qualifications

• 5+ years in a regulated financial services environment, ideally in supervision/advisory role.
• Background in investments or mortgages.
• CeMap Qualification required.

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.

Skills

Regulatory Compliance

Risk Assessment

Training and Development

Education

CeMap Qualification

Level 4 Diploma

Job description

Job Title: Compliance Firm & Adviser Supervisor

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

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

What We’re Looking For

1. 5+ years in a regulated financial services environment, ideally in a supervision or advisory role.
2. Investments or mortgages background
3. CeMap Qualification needed
4. Level 4 Diploma (desirable) - happy to work towards