At a Glance
- Tasks: Lead adviser quality and development in a dynamic compliance role.
- Company: Join John Charcol, a respected mortgage and protection broker with nearly 50 years of experience.
- Benefits: Opportunity for professional growth and making a real impact in financial services.
- Other info: Be part of a growing team that values quality advice and development.
- Why this job: Shape a customer-first culture while enhancing adviser performance and compliance.
- Qualifications: 2+ years in compliance supervision with strong FCA knowledge required.
The predicted salary is between 40000 - 50000 € per year.
About John Charcol
Established nearly 50 years ago, John Charcol is one of the UK's most respected whole-of-market mortgage and protection brokers. With flagship offices in central London and Southampton and advisers operating nationwide, we combine experience, scale and innovation to deliver high-quality, client-first financial advice.
About the Role
This is a pivotal 1st line of defence role where you'll be at the heart of adviser quality and development. Reporting to the Compliance Manager, you'll own and embed our T&C scheme, coach advisers to be the best they can be, and help shape the culture of a business that genuinely puts customers first. This is not a generic L&D or people development role. You will be working within a regulated mortgage and protection environment and will need a strong working knowledge of FCA rules, MCOB, Consumer Duty obligations and TCF principles from day one.
What You'll Be Doing
- Maintaining and embedding the T&C scheme, ensuring all aspects are adhered to across the business
- Conducting observations across all product areas, providing constructive feedback and highlighting areas for development and business improvement
- Conducting 1-1s with advisers to discuss performance and KPIs, manage risks and drive better customer outcomes
- Creating, implementing and managing development plans with advisers to address performance issues, risks and development needs
- Providing coaching and development to improve adviser quality and customer outcomes
- Facilitating and delivering induction training as required under the T&C scheme
- Developing and growing effective relationships across all John Charcol departments
- Responding promptly and with appropriate diligence to any complaints received
- Ensuring adherence to compliant process within all sales and champion good Conduct Risk behaviours
- Presenting a professional approach with a high standard of service quality, integrity and conduct
What We're Looking For
Essential:
- Minimum 2 years' experience in a T&C, compliance supervision or 1st line compliance role within FCA regulated financial services
- Demonstrable knowledge of FCA regulation, MCOB and Consumer Duty obligations
- Strong knowledge of the UK regulatory environment and FCA regulation
- Strong interpersonal and relationship building skills
- Good IT skills across Word, PowerPoint, Excel and Outlook
Desirable:
- CeMAP or equivalent qualification
- Formalised compliance qualification
Why John Charcol?
This is a fantastic opportunity to make a real impact in a business that values quality advice, professional development and doing the right thing for customers — backed by the resources and ambition of the growing Pivotal Growth Group.
Interested? Apply on LinkedIn - we'd love to hear from you.
Compliance Supervisor - Mortgages & Protection in Portsmouth employer: John Charcol - Independent Mortgage Expertise
At John Charcol, we pride ourselves on being a leading employer in the financial services sector, offering a dynamic work environment in the heart of Southampton. Our commitment to professional development and a client-first culture ensures that our employees are empowered to excel in their roles while making a meaningful impact on customer outcomes. With nearly 50 years of industry experience, we provide our team with unique growth opportunities and the resources needed to thrive in a regulated mortgage and protection landscape.
Contact Detail:
John Charcol - Independent Mortgage Expertise Recruiting Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Supervisor - Mortgages & Protection in Portsmouth
✨Tip Number 1
Network like a pro! Reach out to current employees at John Charcol on LinkedIn. Ask them about their experiences and any tips they might have for landing the Compliance Supervisor role. Personal connections can give you an edge!
✨Tip Number 2
Prepare for the interview by brushing up on FCA regulations, MCOB, and Consumer Duty obligations. We want you to be confident in discussing these topics, as they'll likely come up during your chat with the hiring team.
✨Tip Number 3
Showcase your coaching skills! Think of examples where you've helped others improve their performance or overcome challenges. This will demonstrate your ability to develop advisers and align with John Charcol's client-first approach.
✨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 being part of the John Charcol team.
We think you need these skills to ace Compliance Supervisor - Mortgages & Protection in Portsmouth
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Compliance Supervisor. Highlight your experience in T&C and compliance supervision, and don’t forget to mention your knowledge of FCA regulations. We want to see how you can bring your unique skills to our team!
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 John Charcol's mission of putting customers first. Keep it engaging and personal – we love a bit of personality!
Showcase Your Interpersonal Skills:Since this role involves coaching and building relationships, make sure to highlight your strong interpersonal skills in your application. Share examples of how you've successfully worked with others to improve performance or resolve issues – we’re all about collaboration here!
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. Plus, we can’t wait to see what you bring to the table!
How to prepare for a job interview at John Charcol - Independent Mortgage Expertise
✨Know Your FCA Regulations
Make sure you brush up on your knowledge of FCA rules, MCOB, and Consumer Duty obligations. Being able to discuss these confidently will show that you're not just familiar with the regulations but that you can apply them in a practical setting.
✨Showcase Your Coaching Skills
Since this role involves coaching advisers, prepare examples of how you've successfully developed others in the past. Think about specific situations where your feedback led to improved performance or customer outcomes.
✨Demonstrate Relationship Building
This position requires strong interpersonal skills. Be ready to share experiences where you've built effective relationships across departments. Highlight how these relationships contributed to better compliance and adviser quality.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving abilities in a compliance context. Practice articulating how you would handle specific compliance issues or adviser performance challenges, focusing on your approach to maintaining high standards.
