Compliance Supervisor

Job Title: Compliance Supervisor
Contract Type: Permanent
Location: Horsham
Reference: 1131247
Contact Email:
Job Published: May 20, 2021 14:01

Job Description

Compliance Supervisor

My client, a well-established Financial Advice practice are recruiting for an experienced Compliance Supervisor to join the team. Working within a modern head office within an experienced and professional team that encourage growth and progression.

In return you will be offered a strong salary, benefits package, training towards Level 4 Diploma in Financial Planning, and gain your CII R01 qualification supported and achieved within year 1.

Duties include:
  • Identify breaches or Misconduct by firms and individual and report training/compliance failures to the compliance manager
  • To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms
  • Prepare action plans and feedback for firms and individuals following any audit
  • Provide compliance support to ensure the adherence to rules, guidance ad procedures
  • Handle customer complaints
  • Review client files and confirm suitability and adherence to regulatory and company requirement
  • Assist firms and individuals mainiating good business and compliance practice and procedures.
  • Complete risk evaluation of each individual and an overall risk assessment of the firm following audit finds.
  • Support the Compliance Manager, by conducting audits of firms and individuals where there is evidence of them being a risk from their activities
You will have a working knowledge of the FCA Rules, awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO), you will have a working knowledge of the financial services industry, products and risks. Knowledge of a Compliant Sales Process and Disclosure requirements. QCA Level 4, 6 or 6+ qualification would be desirable but not essential.
For further details contact Tegan Sillett at Dynamite Recruitment 02392455422

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