At a Glance
- Tasks: Supervise and coach mortgage advisers, ensuring compliance and regulatory standards are met.
- Company: Capricorn, a leading mortgage advisory firm in London with a focus on professional growth.
- Benefits: Up to £46,000 salary, 8% NEST pension, and support for professional development.
- Other info: Join a dynamic team with a culture of accountability and professionalism.
- Why this job: Make a real impact by guiding advisers and ensuring excellent customer outcomes.
- Qualifications: Strong communication skills and ability to coach and influence others.
The predicted salary is between 36000 - 60000 £ per year.
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:
- Conduct regular one-to-one supervisory reviews with advisers
- Provide coaching, feedback and regulatory guidance
- Support new advisers through the competency process
- Help existing advisers maintain competence and regulatory standards
- Produce clear supervision notes and compliance evidence
- Identify risks or trends and escalate where appropriate
- Act as a key point of contact for adviser compliance queries
- Build strong relationships with internal teams and network partners
- Maintain up-to-date regulatory knowledge through CPD
- Support compliance initiatives and business projects when required
About you:
- Strong communication and relationship-building skills
- Ability to coach and influence advisers
- Organised with strong attention to detail
- Professional, proactive and confident in challenging when needed
- Comfortable working independently and within a compliance team
Compliance Supervisor employer: Capricorn Financial Consultancy
Capricorn Financial Consultancy is an exceptional employer, offering a dynamic work environment in the heart of London, specifically in vibrant locations like Hammersmith and Mayfair. With a strong focus on performance and growth, employees benefit from a high-energy team culture, robust lead flow, and significant earning potential, making it an ideal place for experienced mortgage advisers looking to thrive in their careers.
Contact Details:
Capricorn Financial Consultancy Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Supervisor
✨Tip Number 1
Network like a pro! Get out there and connect with people in the compliance field. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by practising common compliance scenarios. Think about how you would handle specific regulatory challenges or coach advisers effectively. This will show potential employers that you’re not just knowledgeable but also ready to tackle real-world issues.
✨Tip Number 3
Showcase your relationship-building skills! During interviews, share examples of how you've successfully coached advisers or collaborated with teams. Highlighting these experiences can set you apart as a candidate who fits right into Capricorn's culture.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re genuinely interested in joining our team at Capricorn. Let’s make this happen together!
We think you need these skills to ace Compliance Supervisor
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Supervisor role. Highlight your relevant experience in compliance, coaching, and relationship-building. We want to see how your skills align with what we’re looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how you can contribute to our team. Keep it concise but impactful – we love a good story!
Showcase Your Communication Skills:Since strong communication is key for this role, make sure your application reflects that. Use clear and professional language, and don’t forget to proofread for any typos or errors. We appreciate attention to detail!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Capricorn Financial Consultancy
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance standards relevant to the mortgage and protection sector. Being able to discuss recent changes or trends will show that you're proactive and knowledgeable, which is exactly what they’re looking for.
✨Showcase Your Coaching Skills
Since the role involves coaching advisers, think of specific examples where you've successfully trained or guided others. Be ready to share how you approached these situations and the positive outcomes that resulted from your support.
✨Build Rapport with Interviewers
Remember, this role is all about relationship-building. During the interview, engage with your interviewers by asking insightful questions and showing genuine interest in their experiences. This will demonstrate your strong communication skills and ability to connect with others.
✨Prepare for Scenario Questions
Expect to be asked how you would handle specific compliance scenarios or challenges. Think through potential risks and how you would address them, as well as how you would support advisers in maintaining regulatory standards. This will highlight your problem-solving abilities and proactive mindset.
