At a Glance
- Tasks: Supervise advisers, review mortgage cases, and provide coaching and regulatory support.
- Company: Fast-growing mortgage advisory business with a strong culture of collaboration.
- Benefits: Up to £46,000 salary, 8% NEST pension, and support for professional development.
- Other info: Visible role with excellent career growth opportunities in a supportive team.
- Why this job: Shape compliance standards and make a real impact in a dynamic environment.
- Qualifications: Experience in mortgage compliance and strong knowledge of FCA regulations.
The predicted salary is between 46000 - 46000 £ per year.
Location: Hammersmith and Mayfair, London
Working pattern: Full time - Office-based (4 days per week)
Salary: Up to £46,000
Benefits:
- 8% NEST pension: 3% employer and 5% employee
- Support with professional development and qualifications
About Capricorn:
Capricorn is a fast-growing, London-based mortgage and protection advisory business supporting a high-performing network of self-employed advisers. We are ambitious, entrepreneurial and commercially focused, with a strong culture of accountability, collaboration and positive customer outcomes. Compliance is central to how we develop advisers, deliver good advice and grow sustainably.
The opportunity:
We are looking for an experienced Compliance Supervisor with a strong background in mortgage compliance. This is a hands-on role combining adviser supervision, file reviews, coaching and regulatory support. You will work closely with advisers, Team Leaders, the Compliance Director and senior leadership to identify risks early and maintain high standards.
The role:
- Conduct one-to-one adviser supervision reviews
- Review mortgage and protection cases and audit client meetings
- Provide practical coaching, feedback and regulatory guidance
- Support new advisers through the competency process
- Help existing advisers maintain competence
- Identify trends, risks and development needs
- Produce clear supervision records and action plans
- Escalate concerns and monitor remedial actions
- Support Consumer Duty and wider compliance projects
About you:
You will be confident, credible and solutions-focused, balancing robust oversight with practical adviser support. You will have:
- Experience in a mortgage compliance, supervision or file-review role
- Strong knowledge of FCA mortgage regulation
- Experience reviewing mortgage advice and suitability
- Knowledge of protection advice, Consumer Duty and Training and Competence requirements
- The confidence to coach, influence and challenge advisers
- Strong organisation and attention to detail
- CeMAP or an equivalent mortgage qualification
Desirable:
- Experience supervising self-employed advisers
- Experience within an Appointed Representative network
- Level 4 Diploma or J07 qualification
This is a visible and influential role for someone who wants to help shape compliance standards within an ambitious, growing mortgage business.
Compliance Supervisor in London employer: All The Top Bananas
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StudySmarter Expert Advice🤫
We think this is how you could land Compliance Supervisor in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like All The Top Bananas looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Supervisor in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at All The Top Bananas. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at All The Top Bananas
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with All The Top Bananas’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
