Job Title: Compliance Supervisor
About the Role:
This is a supervisory position that requires expertise in regulated financial services. The role involves supporting the supervision of Appointed Representative (AR) firms, ensuring compliance with company policies and FCA regulations.
The ideal candidate will have experience working in a regulated environment, ideally in a supervision or advisory role. They should possess knowledge of investments or mortgages and hold relevant qualifications such as CeMap and Financial Planning Certificate.
Key Responsibilities:
* Monitor AR firms' compliance with policies and FCA regulations.
* Assess risk and competence of individual representatives.
* Provide training and development to new and existing representatives.
* Conduct risk assessments and recommend action plans to mitigate compliance risks.
* Report any concerns regarding AR firms to senior management.
Requirements:
* At least 5 years of experience in a regulated financial services environment.
* Background in investments or mortgages.
* CeMap Qualification required.
* Financial Planning Certificate required.
* Level 4 Diploma (desired), but willingness to work towards it is acceptable.