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