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- 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.
- 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.
- Other info: Be part of a growing team that values quality advice and development.
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 Southampton employer: John Charcol - Independent Mortgage Expertise
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 Southampton
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect with current employees at John Charcol. Building relationships can give you insider info and might just land you an interview.
✨Tip Number 2
Prepare for the interview by brushing up on FCA regulations and MCOB rules. Show us you know your stuff and can talk confidently about how you’d handle compliance challenges in the role.
✨Tip Number 3
Practice your coaching skills! Think of examples where you've helped others improve their performance. We want to see how you can develop advisers and enhance customer outcomes.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team.
We think you need these skills to ace Compliance Supervisor - Mortgages & Protection in Southampton
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Supervisor role. Highlight your experience in T&C, compliance supervision, and any relevant FCA regulations you've worked with. We want to see how your background aligns 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 client-first approach. Keep it concise but impactful – we love a good story!
Showcase Your Skills: Don’t forget to showcase your interpersonal and relationship-building skills in your application. We value strong communication, so give us examples of how you've built effective relationships in previous roles.
Apply Through Our Website: We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to keep track of your application and ensure it gets into the right hands!
How to prepare for a job interview at John Charcol - Independent Mortgage Expertise
✨Know Your Regulations
Make sure you brush up on FCA rules, MCOB, and Consumer Duty obligations before the interview. Being able to discuss these regulations confidently will show that you’re serious about compliance and understand the industry.
✨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
John Charcol values effective relationships across departments. Be ready to share how you've built strong working relationships in previous roles, and how you plan to foster collaboration within the team.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in a compliance context. Prepare for scenarios where you might need to handle complaints or manage risks, and think through your approach to ensure good conduct risk behaviours.