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Compliance Supervisor

  • Up to £50,000 plus benefits

  • Ref

    JM-COMS1

  • Contact Name |Joanne McPherson

Compliance Supervisor

  • Hybrid Southeast Coast (Hove) and home working - Travel as required

  • Up to £50,000 plus benefits

Our Client a Chartered Wealth Management business with ambitious growth plans has retained us to secure an experienced Compliance Supervisor.

The successful candidate will play an integral role in the business and support the Head of Compliance to ensure it operates within a compliant and ethical manner.

This hybrid role will focus on overseeing the company’s T&C Scheme and File Quality to ensure advisors are adequately supported and coached around quality standards and ongoing professional development.

The core areas of responsibility are as follows:

Training and competence

  • Assist in the development, support, and maintenance of the firm’s T&C processes and policy.
  • Assess and onboard new financial advisors to the business - including competency sign-off for new advisors or investment managers.
  • Complete quarterly one to ones for Investment Managers and Financial Planners - providing more frequent one to ones when necessary.
  • Provide feedback and assistance for advisors in relation to recognised learning needs.

File Reviews

  • Complete File Reviews on all financial advisors as per the Compliance Monitoring Plan.
  • Complete File Reviews on high-risk products and high-risk advisors on a pre-sale basis.
  • Review the suitability of advice and the whether the advice is provided within the agreed upon internal service levels.
  • Provide constructive feedback to financial advisors and MI for reporting requirements.

Experience & Qualifications

  • Experience of T&C and File Review within an FS Advisory setting
  • Up to date awareness of regulatory requirements around advice standards and best practice
  • A solutions orientated approach to ensuring advisers are aware of the internal standards expected of them
  • Level 4 qualification would be preferred but there will be consideration given to those qualified via experience

Please contact me ASAP to discuss this role.

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CONTACT US 0113 274 3000