Compliance Supervisor

Posted 30 March by Reset Recruitment Ltd
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Compliance Supervisor

Salary: £29k - £35,600 DOE + Benefit package

Location: Horsham

Hours: Mon-Fri 9am- 17.30pm

Do you want to work for a progressive organisation that offers further study for your financial services exams and a friendly and professional working environment? Do you have a compliance background and enjoy leading on project work? If so, I have a great position that has just become available within their compliance team for a compliance Supervisor that is working towards their level 4 diploma in financial planning.

Responsibilities:

  • Promote and work towards the Company’s policy and client best interest outcomes.

  • Ensure adherence to the Company’s suite of policy and procedures.

  • Provide support to the immediate line manager by conducting focused audits of the activities of individuals and firms.

  • Conduct induction, monitoring, investigation, remedial and exit visits on firms using pre- prepared check lists and special instructions agreed by the Compliance Manager.

  • Attending visits that may be on site or around the UK.

  • Review client files to confirm suitability and good customer outcomes.

  • Identify any breaches or misconduct by firms and individuals and report on any training and compliance failures.

  • Provide feedback and prepare action plans for firms after any audit has been completed.

  • Provide guidance to firms and individuals setting up and maintaining business and compliance practices and procedures.

  • Handle customer complaints in a fair and non-biased manner in accordance with regulatory requirements.

  • Undertake or lead project work when required by the compliance manager.

The right candidate will have the following qualifications and skills to apply:

  • Proven background within a compliance-based role.

  • Awareness of the rules and regulations of other relevant bodies (e.g., JMLSG, FATF, ICO).

  • Good working knowledge of the financial services industry, products, and risks.

  • Progression towards Level 4 Diploma in Financial planning.

  • Good report writing skills.

  • Working knowledge of compliant sales process and disclosure requirements.

For more information on this role please send your CV ASAP. This is a great opportunity for an enthusiastic and driven individual that thrives in a busy environment.

Required skills

  • Audit
  • Complaints
  • Compliance
  • Financial Services
  • Regulations

Reference: 42367629

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