Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Supervise compliance for financial advisers and assess risks in a dynamic environment.
- Company: Join a leading UK financial advice network focused on high-quality support and compliance.
- Benefits: Enjoy remote work flexibility with occasional site visits and professional development opportunities.
- Why this job: Make a real impact by ensuring compliance and supporting advisers in their professional growth.
- Qualifications: 5+ years in regulated financial services, CeMap qualification, and a background in investments or mortgages.
- Other info: Opportunity to work towards Level 4 Diploma while advancing your career.
The predicted salary is between 36000 - 60000 £ per year.
Location: Remote working (20% site visits)
Opportunity to work for a leading UK financial advice network, committed to delivering high-quality support to advisers and ensuring compliance with FCA regulations.
You will support the supervision of Appointed Representative (AR) firms, ensuring compliance with company policies, FCA regulations, and high professional standards. The role involves regular travel and some visits to Head Office.
Key Responsibilities- Monitor AR firms’ compliance with policies and FCA regulations.
- Assess risk and competence of individual representatives.
- Provide training and development to new and existing representatives.
- Conduct risk assessments and recommend action plans to mitigate compliance risks.
- Report any concerns regarding AR firms to senior management.
- 5+ years in a regulated financial services environment, ideally in a supervision or advisory role.
- Investments or mortgages background.
- CeMap Qualification needed.
- Financial Planning Certificate.
- Level 4 Diploma (desirable) - happy to work towards.
Compliance Supervisor employer: Trinnovo Group | B Corp™
Contact Detail:
Trinnovo Group | B Corp™ Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Supervisor
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience in compliance and supervision. Attend industry events or webinars to connect with potential colleagues and learn more about the role.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. This knowledge will not only help you in interviews but also demonstrate your commitment to the field and your proactive approach to staying informed.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you successfully managed compliance issues or improved processes. Highlighting your problem-solving skills will make you stand out as a candidate.
✨Tip Number 4
Familiarise yourself with StudySmarter's values and mission. Tailoring your conversation during interviews to align with our goals will show that you're not just looking for any job, but that you're genuinely interested in contributing to our team.
We think you need these skills to ace Compliance Supervisor
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in a regulated financial services environment. Emphasise any supervisory or advisory roles you've held, and include specific achievements that demonstrate your compliance knowledge.
Craft a Strong Cover Letter: In your cover letter, explain why you're passionate about compliance and how your background in investments or mortgages aligns with the role. Mention your CeMap qualification and any relevant certifications to showcase your expertise.
Highlight Relevant Experience: When detailing your work history, focus on your experience monitoring compliance and conducting risk assessments. Provide examples of how you've successfully trained representatives or mitigated compliance risks in previous roles.
Showcase Your Soft Skills: Compliance roles require strong communication and interpersonal skills. Be sure to mention your ability to provide training and support to others, as well as your capability to report concerns effectively to senior management.
How to prepare for a job interview at Trinnovo Group | B Corp™
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and compliance standards. Brush up on the latest updates and be ready to discuss how they impact the role of a Compliance Supervisor.
✨Showcase Your Experience
With 5+ years in a regulated financial services environment, prepare to share specific examples from your past roles. Highlight your experience in supervision or advisory positions, especially any relevant achievements.
✨Demonstrate Training Skills
Since the role involves providing training and development, think of instances where you've successfully trained others. Be ready to discuss your approach to developing representatives and ensuring their compliance.
✨Prepare for Risk Assessment Questions
Expect questions about risk assessment and mitigation strategies. Prepare to explain your process for assessing risks and how you've implemented action plans in previous roles to address compliance issues.
