Compliance Supervisor

One of the UK's most successful IFA networks has partnered with Vision-FS Recruitment to find an experienced Compliance Supervisor for its rapidly expanding Compliance team. The 30-year old Horsham-based business specialises in giving expert retirement advice to it's vast number of clients across the UK. The Compliance Supervisor position is based at the company's HQ in Horsham.

Reporting to the Compliance Manager, the Compliance Supervisor's key duties will include:

• To provide support to the Compliance Manager by conducting Focused Audits of the activities of individuals and firms where there is evidence of the Firm or Individual being of a risk to the Company arising from their activities.
• To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions or directions agreed by the Compliance Manager according to individual circumstances, and accurately recorded outcomes on the in-house systems.
• To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements, and identify and require remedial action from members firms where necessary.
• To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Compliance Manager.
• To provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of each individual within the firm and an overall risk assessment of the firm based upon the findings of any audit.
• To provide guidance to firms and individuals in setting up and maintaining good business and compliance practices and procedures, to include review and approval of financial promotions and the provision of technical support.

The successful candidate for the Compliance Supervisor vacancy will receive:

• Up to £45,000 salary (dependant on experience)
• Discretionary annual bonus
• 23 days' annual leave (rising to 25)
• Pension (3% employee/5% company)
• Health insurance
• Death in Service (4 x salary)
• Free parking
• Career progression

Suitable candidates interested in the Compliance Supervisor vacancy will have the following criteria:

• Working knowledge of FCA Rules
• Awareness of the rules and regulations of other bodies (e.g. JMLSG, FATF, ICO)
• CII Level 4 Diploma in Financial Planning qualification or equivalent
• Knowledge of the financial services industry, products and risks
• Working knowledge of a Compliant Sales Process and Disclosure requirements

Next steps:

If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.

Vision-FS Recruitment is a leading London City based Financial Services Recruitment business and cover the entire UK market. Vision-FS Recruitment was founded to specialise within the IFA/Wealth Management, Private Banking and Employee Benefits Recruitment.