Compliance Supervisor

Posted 16 March by NJR Recruitment
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Compliance Supervisor
Location: Leeds

We are delighted to be working with a leading firm of Financial Advisors who have an interesting opportunity for an experienced Compliance Supervisor to join their thriving business.

This is a fantastic opportunity for someone looking for their next career step. You will be joining a reputable business with genuine career progression, competitive basic salary and a friendly established team.

The successful applicant will be responsible for the supervision of a small team of Financial Planners and Mortgage Advisers within the company, ensuring competence is both achieved and maintained via various mechanisms and a range of feedback and coaching activities. This will include one to ones, roleplays and testing as well as supporting Advisers with a range of queries they may have.

Responsibilities include:
Assessing new Pre Approval cases against Business Standards and agreeing these cases as appropriate
Completion of one to ones as required
Completion of annual role-plays
Ensuring Adviser records are kept up to date
Completing File Reviews
Assisting with Induction Courses
Providing ongoing support to Advisers via telephone and email
Other compliance work as the business dictates, i.e. procedures, AML, training team and Advisers
Answering Regulatory queries such as financial planning, technical, product and T&C related queries
Proactively identifying trends and feeding continuous improvement

What's in it for you?
Competitive salary
Flexible to full or part time
Free parking
23 Days Holiday + Bank Holidays
Company Pension

The successful candidate will need to have previous experience working as a T& C Supervisor with excellent knowledge of COBS, ICOB and MCOB product and sales process. Ideally those applying would be Level 4 diploma qualified.

Candidates applying for the role will be highly professional and very strong communicators. The ability to work as part of a professional team is essential.

Apply online or for more information please contact one of our specialist consultants quoting reference number: NJR10794

Required skills

  • Compliance
  • Financial Planning
  • Investments
  • Pensions
  • File Review

Reference: 41624810

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