Disclaimer: Hunt UK Visa Sponsors aggregates job listings from publicly available sources, such as search engines, to assist with your job hunting. We do not claim affiliation with Broadgate. For the most up-to-date job details, please visit the official website by clicking "Apply Now."
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
