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Compliance Supervisor

Posted 8 May by Recruitment Connection Easy Apply Ended

Compliance Supervisor

Home-Based

Sussex, Hampshire and Surrey

£32750 to £40250 + benefits

My client is a well-established and successful IFA specialising in investments and pensions as well as mortgages and protection. This is a field based role, undertaking regular visits to the premises of a number of Appointed Representative firms.

You will be responsible for the training, evaluation, assessment and monitoring of the individual representatives of the company, ensuring that they remain competent in their role and that their conduct matches the rules and polices of the individual company.

  • You will review the performance of the RI in their role and document all engagements;
  • Providing training or coaching to existing and new individual representatives;
  • Assessing their ongoing competency in their role, comparing it against KPI’s;
  • Evaluate the potential for poor consumer outcomes or the risk that may be posed by their actions or omissions.

You may also have to undertake ad hoc compliance projects for the company.

It is essential that you have at least five years’ experience in a regulated financial services environment. You must have a recognised supervisory or management qualification or membership of a recognised professional body. The Financial Planning Certificate and CeMAP are also required. Ideally, you will have/be working towards the Level 4 Diploma.

Ref: 4897

Required skills

  • Compliance
  • Financial Services
  • Competency Based Training

Reference: 34459540

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