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For Companies At a Glance
- Tasks: Oversee adviser compliance and support them in maintaining high regulatory standards.
- Company: Established financial services network with a focus on growth and support.
- Benefits: Salary around £35,000, initial office support, then mostly remote work.
- Other info: Dynamic environment with opportunities to build strong professional relationships.
- Why this job: Step into a field-based role with real responsibility and career progression.
- Qualifications: CeMAP qualified with experience in financial services, ideally in mortgages.
The predicted salary is between 35000 - 35000 £ per year.
An established and growing financial services network is looking to appoint a Field Compliance Supervisor to support advisers and AR firms across the business.
Location: Hitchin, Hertfordshire (initially office-based, then predominantly remote).
Salary: Circa £35,000.
Employment Type: Permanent.
Responsibilities
- Oversee adviser compliance, monitor performance, identify risk, and support advisers to maintain high regulatory standards.
- Review adviser performance regularly, including processes, KPIs and data, to identify potential risks or weaknesses.
- Produce detailed compliance reports documenting adviser performance and findings.
- Conduct adviser observations via site visits and virtual meetings.
- Prepare in advance of visits and discuss findings directly with advisers.
- Create, implement and monitor action plans following adviser reviews.
- Attend monthly compliance meetings and report directly to management.
- Keep up to date with changes to policies, procedures and regulatory requirements.
- Act as a point of referral for adviser compliance queries and concerns.
- Build strong, professional relationships with advisers to support best practice.
- Contribute to the ongoing development and improvement of compliance reporting.
- Complete observations for new advisers during induction.
- Support wider compliance and operational requirements as needed.
- Maintain standards under the firm’s Training & Competency scheme.
What We’re Looking For
- CeMAP qualified (essential).
- Proven experience within financial services, ideally mortgages or adviser support.
- Strong understanding of adviser processes, compliance requirements and risk.
- Confident communicator, comfortable providing feedback and challenge.
- Well organised, analytical and able to manage multiple priorities.
- Willingness to travel for site visits as required.
What’s On Offer
- Salary circa £35,000.
- Initial office-based support in Hitchin, moving to a largely remote role.
- Opportunity to develop a long-term career within compliance and supervision.
- Exposure to a wide range of advisers and business models.
If you’re CeMAP qualified, have financial services experience, and are looking to step into a field-based compliance role with real responsibility and progression, we’d love to hear from you. Apply now for confidential consideration.
Field Compliance Supervisor in Hitchin employer: Eden Rose
Contact Detail:
Eden Rose Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Field Compliance Supervisor in Hitchin
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who know about compliance roles. A friendly chat can lead to insider info on job openings or even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and adviser processes. We recommend practising common interview questions with a mate to boost your confidence and ensure you can articulate your experience clearly.
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to discuss how you've identified risks or improved compliance in past roles. Use specific examples to demonstrate your problem-solving abilities and how you can add value.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Field Compliance Supervisor in Hitchin
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Field Compliance Supervisor role. Highlight your CeMAP qualification and any relevant experience in financial services, especially in compliance and adviser support. We want to see how your skills match 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 your background makes you a great fit for our team. Be sure to mention your understanding of adviser processes and your ability to build strong relationships.
Showcase Your Communication Skills: As a Field Compliance Supervisor, you'll need to communicate effectively with advisers. In your application, demonstrate your confident communication style. Whether it's through your CV or cover letter, let us know how you provide feedback and support best practices.
Apply Through Our Website: We encourage you to apply directly through our website for a smoother process. This way, we can easily track your application and get back to you quicker. Plus, it shows you're keen on joining our team at StudySmarter!
How to prepare for a job interview at Eden Rose
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations and adviser processes. Being CeMAP qualified is a must, so be ready to discuss how your qualifications and experience align with the role.
✨Showcase Your Analytical Skills
Prepare examples that highlight your ability to analyse performance data and identify risks. Think about specific situations where you've successfully implemented action plans or improved compliance standards.
✨Practice Your Communication
As a Field Compliance Supervisor, you'll need to communicate effectively with advisers. Practice articulating feedback clearly and confidently, and be prepared to discuss how you build strong professional relationships.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Prepare to explain how you would handle adviser observations or address compliance queries, showcasing your problem-solving skills.