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For Companies 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
Compliance Supervisor employer: Broadgate
Join a leading financial services network in Horsham, where we prioritise a strong compliance culture and offer our employees a supportive work environment. As a Compliance Supervisor, you will benefit from ongoing professional development opportunities, a collaborative team atmosphere, and the chance to make a meaningful impact on consumer outcomes. Our commitment to employee growth and well-being makes us an exceptional employer in the financial sector.
Contact Detail:
Broadgate Recruiting Team
