Compliance Supervisor

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