Senior Adviser Supervisor – Financial Compliance (Remote)

Huntress - Crawley; Horsham; Hybrid; GBP 40.000 - 44.000; Vollzeit

Zusammenfassung

Huntress - Crawley is seeking an experienced Firm and Adviser Supervisor in the UK. The role carries a 40,000–44,000 salary, full-time hours (35 per week), and hybrid work with two initial days in the Horsham office.

The supervisor will ensure AR firms and advisers meet standards, drive quality and risk management, and provide training and support to the compliance team. A strong regulatory background is essential.

Qualifikationen

• At least five years' experience in a regulated financial services environment.
• Financial Planning Certificate and CeMAP (or equivalent) required.
• Sound knowledge of the Financial Services and Markets Act 2000 and the FCA Handbook, SUP, TC and APER.

Aufgaben

• Review adviser performance and implement development plans.
• Assess competence of individuals giving investment, mortgage and protection advice.
• Carry out periodic risk assessments of AR firms.
• Recommend action plans to reduce risk and monitor timely closure of actions.
• Escalate concerns about material risk of harm to consumers or the market.
• Deliver onboarding training and ongoing regulatory training on product and market changes.
• Act as main point of contact between advisers/AR firms and the business.
• Support the wider compliance department with projects as needed.

Kenntnisse

Analytical

Organised

Flexible

Presentation to groups

Ausbildung

Financial Planning Certificate

CeMAP

Jobbeschreibung

Huntress - Crawley is seeking an experienced Firm and Adviser Supervisor in the UK. The role carries a 40,000–44,000 salary, full-time hours (35 per week), and hybrid work with two initial days in the Horsham office.

The supervisor will ensure AR firms and advisers meet standards, drive quality and risk management, and provide training and support to the compliance team. A strong regulatory background is essential.