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