At a Glance
- Tasks: Supervise advisers, review cases, and provide coaching on mortgage compliance.
- Company: Fast-growing mortgage advisory firm with a culture of collaboration and accountability.
- Benefits: Up to £46,000 salary, 8% NEST pension, and supportive work environment.
- Other info: Visible role with opportunities for professional development and influence.
- Why this job: Shape compliance standards in an ambitious company while supporting advisers' growth.
- Qualifications: Experience in mortgage compliance and strong knowledge of FCA regulations required.
The predicted salary is between 40500 - 49500 £ 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
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.
- 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: Capricorn Financial
Capricorn Financial is an exceptional employer for self-employed Mortgage Advisers, offering a dynamic work culture in the vibrant locations of Hammersmith and Mayfair. With access to a steady stream of qualified leads and a robust support system, employees can focus on maximising their earning potential while enjoying significant growth opportunities in a high-performance environment.
