COMPLIANCE SUPERVISOR
Aberdeen | Competitive Salary + Benefits
Our client, a well-established and growing financial planning business, is seeking a Compliance Supervisor to join their team in Aberdeen.
This is an excellent opportunity for an experienced compliance professional or someone with a strong regulatory background from within financial advice, paraplanning, banking, operations management, practice management, risk, quality assurance, or training & competency who is looking to progress their career within compliance and risk oversight.
The successful candidate will play a key role in supporting the firm's compliance framework, ensuring regulatory obligations are met and helping deliver positive client outcomes.
Key Responsibilities
- Conduct file reviews and suitability checks to assess advice quality and regulatory compliance.
- Maintain compliance registers, monitoring logs and accurate record keeping.
- Monitor changes in FCA regulations and industry developments.
- Support the ongoing enhancement of compliance and risk frameworks.
- Assist with risk assessments, controls testing and governance activities.
- Support regulatory reporting and interactions where required.
- Investigate compliance issues, identify root causes and help implement corrective actions.
- Assist with financial crime prevention activities, including AML, sanctions and fraud controls.
- Provide practical compliance guidance to advisers and support staff.
- Review client communications and marketing materials.
- Produce clear and accurate management information and compliance reports for senior stakeholders.
- Support training and competency initiatives across the business.
Candidate Profile
We are keen to speak with individuals who have gained experience within:
- Compliance or Risk
- Independent Financial Advice (IFA)
- Paraplanning
- Banking and Retail Financial Services
- Practice Management
- Operations Management
- Training & Competency
- Quality Assurance / File Reviewing
- Governance and Regulatory Oversight
Skills & Experience
Essential
- Experience working within the financial services sector.
- Good understanding of FCA regulatory requirements.
- Knowledge of Consumer Duty and SM&CR.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- High levels of accuracy and attention to detail.
- Ability to build relationships and influence stakeholders across the business.
Desirable
- Level 4 Diploma in Financial Planning (DipPFS) or equivalent.
- Previous experience within a compliance, risk or governance function.
- Experience conducting file reviews and suitability assessments.
- Knowledge of pensions, investments, platforms and protection products.
- Experience supporting adviser oversight, quality assurance or training & competency frameworks.
#J-18808-Ljbffr
Compliance Supervisor employer: Eden Scott
Join a market-leading developer in the North-East of Scotland, where you will be part of a dynamic commercial team dedicated to delivering high-quality residential projects. With a strong focus on employee development, we offer competitive salaries, generous benefits, and ongoing training opportunities, ensuring that your career can flourish in a supportive and innovative environment. Experience a workplace that values collaboration, excellence, and long-term growth, making it an ideal choice for aspiring Quantity Surveyors.
