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Position: Compliance Supervisor
Location: Horsham, West Sussex (2 days per week working from home after probation)
Salary/package: Up to £40,000 + Bonus + 25 days' annual leave + Pension + Study Support + Free Parking + Career pathway to Compliance Manager/Compliance Consultant
YOUR NEW COMPANY
Our client is an award-winning, market-leading UK financial advice network. Founded over 30 years ago, the company has over 100 people supporting its network members and their clients by offering business support, compliance guidance and model portfolios. The company’s headquarters is based in Horsham, West Sussex.
THE ROLE
Due to expansion within the Compliance Team, a need has arisen for a Compliance Supervisor. Based at the firm’s HQ in Horsham, and reporting to the Head of Compliance, the Compliance Supervisor’s key duties will include:
- Apply a risk based and common-sense approach to the compliance monitoring programme.
- To provide support by conducting focused audits visits 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 review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements.
- To undertake due diligence on product providers and mortgage lenders following requests.
- Ensure that financial promotions are approved in accordance with FCA rules and aiding firms in understanding and applying the regulatory guidelines on advertising and social media.
- To provide technical support and product specific support to advisers.
- To handle consumer complaints in a fair and non-biased manner, in accordance with
- regulatory requirements and in-house procedures.
REQUIREMENTS
Candidates interested in the Compliance Supervisor vacancy will require the following:
- Working knowledge of FCA Rules
- Awareness of the rules and regulations of other bodies (e.g., JMLSG, FATF, ICO)
- Knowledge of the financial services industry, products, and risks
- Working knowledge of a Compliant Sales Process and Disclosure requirements
- A good, confident telephone manner is essential.
- Ability to think on your feet quickly, as things can happen very fast within this busy compliance team.
- A relevant qualification (for example, CII Diploma) preferred but not essential.
REMUNERATION / PACKAGE
The package for the Compliance Supervisor vacancy is as follows:
- Up to £40,000
- Annual bonus
- 25 days' annual leave
- Pension
- Study Support
- Free Parking
- Career pathway to Compliance Manager/Compliance Consultant
NEXT STEPS
If you are happy to apply for this position, please click on the apply button and remember to attach a copy of your CV. One of our consultants will be in touch to discuss the opportunity and answer any questions you may have around the role. Where appropriate we can also recommend other relevant opportunities to you that match your requirements.
Vision-FS Recruitment is a leading Financial Services Recruitment business covering the UK FS market. Vision-FS Recruitment specialise within the Financial Planning | Wealth Management and Employee Benefits Recruitment.
