Compliance Supervisor

Huntswood CTC Ltd
11 Jan 2018
10 Feb 2018
Contract Type
Full Time

Our client, a whole of market advice business are keen to add a Compliance Supervisor to their team in West Sussex.

Job responsibilities:

  • 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

Key skills/experience:

  • 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.

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