Our client, a whole of market advice business are keen to add a Compliance Supervisor to their team in West Sussex.
- Act as a point of contact on compliance matters for member firms and T&C supervisors - this will include ensuring they adhere to internal and regulatory processes and procedures
- Support in audits on individuals/firms where there is evidence of the firm or individual being of risk to the company
- Provide detailed feedback and action plans on the back of audits as well as completing an overall risk assessment of the firm/individual
- Check client files to ensure they provide good customer outcomes and suitability
- Identify and report any breaches found relating to compliance and/or training failures
- Provide guidance to firm/individuals in maintaining good compliance and business procedures
- Strong compliance experience within an FCA regulated environment
- Level 4 diploma in financial planning
- Strong attention to detail and analytical skills
If this Compliance Supervisor role is of interest and you hold the relevant skills and experience, please apply now.
This job was originally posted as www.jobsite.co.uk/job/959909333