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For Companies At a Glance
- Tasks: Supervise compliance and coach advisers to ensure regulatory competence.
- Company: Established mortgage and protection advisory firm in London.
- Benefits: Competitive salary, supportive team environment, and career development opportunities.
- Why this job: Make a real impact by ensuring compliance and supporting advisers in their success.
- Qualifications: Experience in compliance or regulatory support within financial services.
- Other info: Join a diverse team that values equal opportunities and personal growth.
The predicted salary is between 36000 - 60000 £ per year.
A well-established London-based mortgage and protection advisory firm is looking for a Compliance Supervisor to join its first-line compliance team. This role supports a high-performing, predominantly self-employed adviser population within a structured Appointed Representative model. Compliance is seen as an enabler of good customer outcomes, with a strong focus on coaching, proportionate supervision and early risk identification.
The Role
- Deliver day-to-day first-line supervision and adviser reviews
- Coach and support advisers to maintain regulatory competence
- Support advisers through T&C and ongoing competency requirements
- Produce clear supervision notes and evidence
- Identify and escalate emerging risks and Consumer Duty considerations
- Act as a key point of contact for adviser compliance queries
About You
- Experience in compliance, T&C or regulatory support within financial services
- Good knowledge of FCA rules within mortgage and protection advice
- Confident communicating with and challenging advisers
- Organised, professional and proactive
Essentials
- CeMAP (or equivalent)
- IT literate
- Full UK driving licence
Desirable:
- Level 4 Diploma, J07, coaching or L&D qualification
Compliance Supervisor employer: Morson Edge
Contact Detail:
Morson Edge Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Supervisor
✨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 or even a referral that could land you an interview.
✨Tip Number 2
Prepare for the interview by brushing up on FCA rules and compliance best practices. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your knowledge and experience during the conversation.
✨Tip Number 3
Showcase your coaching skills! Think of examples where you've supported others in maintaining regulatory competence. This will demonstrate your ability to not just supervise but also empower advisers, which is crucial for this role.
✨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 take the initiative to engage directly with us.
We think you need these skills to ace Compliance Supervisor
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the Compliance Supervisor role. Highlight your experience in compliance, T&C, and any relevant qualifications like CeMAP. We want to see how your background aligns with our needs!
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 support our advisers. Keep it professional but let your personality come through – we love a bit of character!
Showcase Your Communication Skills: As a Compliance Supervisor, you'll need to communicate effectively with advisers. In your application, give examples of how you've successfully communicated or challenged in previous roles. We want to see that you can handle those conversations with confidence!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts and you’ll be on your way!
How to prepare for a job interview at Morson Edge
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA rules, especially those related to mortgage and protection advice. Being able to discuss these confidently will show that you're not just familiar with the regulations but also understand how they impact advisers and clients.
✨Show Off Your Coaching Skills
Since the role involves coaching advisers, think of examples from your past where you've successfully supported others in maintaining their regulatory competence. Be ready to share specific instances where your guidance led to improved outcomes.
✨Be Proactive About Risks
Prepare to discuss how you identify and escalate emerging risks. Think about situations where you've spotted potential issues before they became problems and how you communicated these effectively to your team or management.
✨Practice Clear Communication
As a Compliance Supervisor, you'll need to communicate clearly and confidently with advisers. Practise articulating your thoughts on compliance queries and be prepared to challenge advisers when necessary. This will demonstrate your ability to maintain a professional yet supportive environment.
