Compliance Supervisor
Location: Hammersmith, London (office-based 4 days per week)
Salary: Up to £46,000
Benefits
* 8% NEST pension (3% employer / 5% employee)
* Support with professional development
About Capricorn
Capricorn is a leading London-based mortgage and protection advisory firm operating an Appointed Representative model and soon launching a Directly Authorised arm.
We support a high-performing network of self-employed advisers through strong operational infrastructure, proportionate supervision and a culture focused on accountability, professionalism and positive customer outcomes. Compliance is seen as an enabler of good advice and sustainable growth.
The opportunity:
We are looking for a Compliance Supervisor to deliver day-to-day supervision, training and regulatory support to mortgage and protection advisers.
This is a first-line operational compliance role focused on coaching advisers, identifying risks early and supporting strong Consumer Duty outcomes while working closely with the Compliance Director and senior regulatory leadership.
The role:
1. Conduct regular one-to-one supervisory reviews with advisers
2. Provide coaching, feedback and regulatory guidance
3. Support new advisers through the competency p...