Compliance Supervisor

We are currently supporting a leading Financial Advice Network looking to appoint a Firm & Adviser Supervisor. This role can be based remotely with travel to offices around the country required occasionally.

Responsibilities:

• Promote and support the delivery of Client Best Interest outcomes in line with organisation policy.
• Ensure ongoing compliance with In Partnership’s policies and procedures, including Conflict of Interest and Inducements and Incentives requirements.
• Take ownership of personal performance and identify development needs.
• Regularly review individual representatives’ performance, implementing Personal Development Plans where needed to address skills or knowledge gaps and maintain competence.
• Identify and assess risks of poor consumer outcomes arising from repeated advice failures or assessment shortfalls, recommending changes to competency status where appropriate.
• Monitor representatives’ activities on an ongoing basis to ensure compliance with applicable policies and procedures.

Requirements:

• Holder of a recognised supervisory or management qualification such as the CII H15 / J07 or equivalent or membership of a recognised professional body such as the Institute for Supervision and Management (by experience) is required. If this is not held at date of appointment it is to be achieved within 18 months of appointment.

Salary: up to £55,000 pa