Compliance Partner - Level 4 FP

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Compliance Partner – Level 4 FP, Southampton

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Client:

Location:

Southampton, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

716aea1d17b5

Job Views:

11

Posted:

26.04.2025

Expiry Date:

10.06.2025

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Job Description:

Your company

A financial services organisation located in Hampshire is actively seeking a Compliance Partner. This is an exciting opportunity to be a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure that their firms and networks remain secure.

Your new role

As a Compliance Partner, your role is to oversee regulatory compliance and ensure that appointed representative firms and registered individuals treat customers fairly.

The following tasks are part of risk management and supervision activities:

• Identifying and resolving risks related to customers, regulations, reputation, and operations.
• Managing high-risk areas within the network\’s acceptable level of risk.
• Investigating potential risks through supervisory activities, including conducting inspection visits and producing reports.
• Providing coaching and feedback to improve the quality of work.
• Identifying risks and escalating them to the Supervision and Oversight Manager when necessary.

What you\’ll need to succeed

• Experience in field supervision or compliance monitoring (3–5 years minimum)
• Confident communicator, particularly skilled in questioning, and able to display sound judgment when assessing risks
• Experience in Network/National and IFA/restricted advice models and QCF Level 4 or equivalent compliance & Risk qualification

What you\’ll get in return

• Salary commensurate with experience
• Bonus
• Pension Scheme – A 10% non-contributory company pension scheme that can be boosted through personal contributions
• 26-day holiday
• Private Medical Insurance – Single cover as standard. Cover can be increased at your own cost.
• Life Assurance – 4x your salary. Cover can be increased at your own cost.

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