Compliance Supervisor

Recruitment Connection
08 Mar 2018
15 Mar 2018
Contract Type
Full Time
Compliance Supervisor

Home-Based in Northamptonshire and surrounding area

C£32,750 - £40,250 + benefits

My client is a well-established and successful IFA specialising in investments and pensions as well as mortgages and protection. This is a field based role, undertaking regular visits to the premises of a number of Appointed Representative firms.

You will be responsible for the training, evaluation, assessment and monitoring of the individual representatives of the company, ensuring that they remain competent in their role and that their conduct matches the rules and polices of the individual company.

  • Responsible for supervision of IFAs and Mortgage brokers across Northampton and the surrounding area.
  • Responsible for monitoring and coaching advisors to gain and maintain competent status within the companies Training and Compliance scheme
  • Maintaining standards and targets set by the company
  • Responsible for delivering the companies induction course
  • Manage, prepare and complete regular appraisals for advisors
  • Construct action plans related to under performance and development needs for supervisors
  • Adhere to all procedures and requirements as set out in the companies Compliance and T&C manuals
  • Review and asses adviser files
You may also have to undertake ad hoc compliance projects for the company.

It is essential that you have at least five years’ experience in a regulated financial services environment. You must have a recognised supervisory or management qualification or membership of a recognised professional body. The Financial Planning Certificate and CeMAP are also required. Ideally, you will have/be working towards the Level 4 Diploma.

Ref: 4898

This job was originally posted as

Similar jobs

Similar jobs