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Job Title: Compliance Supervisor
Location: Horsham
Overview:
An established financial services network is seeking a Compliance Supervisor to support regulatory oversight, promote a strong compliance culture, and help ensure firms deliver good consumer outcomes. The role involves audit work, file reviews, technical support, and regulatory guidance.
Responsibilities:
- Conduct risk-based compliance audits
- Review client files for suitability and regulatory adherence
- Approve financial promotions and support firms with advertising standards
- Provide compliance and technical support to advisers
- Handle complaints fairly and assist with root cause analysis
- Conduct due diligence on providers and assist with regulatory projects
- Act as a key contact for field staff and advisers
Requirements:
- Strong knowledge of FCA rules (COBS, SUP, DISP)
- Experience in compliance monitoring and adviser support
- Compliance qualification
- Clear communication, strong judgment, and a flexible approach
ideal
- Certificate in Financial Planning (CII or equivalent), diploma preferred or in progress
- Financial Promotions